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~  Eager to contribute extensive background in Compliance toward serving as

Regulatory Affairs Director with Fannie Mae. ~

 

Areas of Strength include:

 

Project Management Broker/Dealer and Bank Regulatory Compliance

Regulatory Audits/Investigations Regulatory Remediation Risk Assessments

Policy/Procedure Development Controls Testing Trade Review and Best Practices

Qualifications Profile

 

         Significant project leadership experience in financial services industry specializing in securities compliance, audits, risk management, and anti-money laundering and anti-terrorist financing.

         Comprehensive knowledge of rules and regulations of the SEC, NASD, the Bank Secrecy Act, the USA PATRIOT Act and the Investment Advisers Act of 1940.

         Expert in designing audit plans, risk governance structures and recommending processes for risk identification and risk scoring.  

         Significant experience in developing and enhancing compliance policies and procedures for Broker-Dealers and banking institutions.

         Excellent research, investigative, communication, organizational and problem solving skills.

         Adept at preparing examination reports and regulatory reports to meet CEO certification process and in response to compliance and audit findings.

         Superior leadership talents and capabilities in directing teams throughout complete engagement lifecycle.

         Excel in analyzing and interpreting complex financial regulatory statutes.

         Seamlessly coordinate compliance efforts among business units and ensure timely submission to regulators.

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Capital Markets Company (CAPCO), New York, NY                                                         2009 to Present

Manager, Finance, Risk & Compliance Practice

• Effectively manage full-scope Economic Capital Measurement Project for large GSE financial institution which allows GSE to look at EC and Return Metrics at a firm-wide level.
• As Engagement Lead, assist large GSE with process improvement initiative by evaluating risks for applications and EUCs identified in business processes, and coordinating execution of Risk & Control Self-Assessments for assigned business processes.
• Review and finalize Risk & Control Self-Assessment Executive Summary Reports which included development of risk control matrices, risk profiles, process maps and recommendations for mitigating key risks and control weaknesses identified within business processes.
• Spearhead analysis and summarization of financial Regulatory Reform by scrutinizing regulatory implications for financial services firms risk and compliance programs and providing critical findings to Practice Leads.

 

Deloitte & Touche, LLP, Audit & Enterprise Risk Services, New York, NY                              2007 to 2009

Manager, Regulatory & Capital markets Services

• Provided regulatory consulting services with specialization in general securities compliance, compliance audits, risk management, anti-money laundering and anti-terrorist financing. 
• Conducted gap assessments to identify regulatory deficiencies in compliance programs for large Broker-Dealers, and presented recommendations and risk mitigation considerations to executive management. 

Continued

 

 

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• Conducted surveillance of sales practices of registered representatives for compliance.
• Evaluated risk management practices for global financial institutions against industry ERM practices; interviewed risk management personnel, analyzed operational systems and controls, drafted recommendations for remediation program, and assisted in project plan deployment.
• Assisted with major upgrade of AML (anti-money laundering) program under the direction of a Memorandum of Understanding by the Federal Board of Examiners.
• Assisted in preparation of reports for Federal Board of Examiners that outlined management s response to the compliance and audit findings, together with a documented remediation plan.
• Directed and supervised team of 12 in design and deployment of risk-based compliance testing program vital to ensuring compliance with AML laws and regulations.
• Managed 10 compliance audits inclusive of assessing risk, defining scope, developing audit work plans, evaluating design and operating effectiveness of internal controls and concluding on impact of identified control deficiencies.
• Won Outstanding Performance Awards for engagements led in 2007 and 2008.

 

Deloitte & Touche, LLP, Audit & Enterprise Risk Services, New York, NY                              2006 to 2007

Senior Consultant, Regulatory & Capital Markets Services

• Assembled and launched regulatory remediation program for global financial institution, strategically designing business and regulatory requirements matrix to assist institution in meeting books and records requirements for its Investment Advisory foreign and domestic clients.      
• Directed and managed engagement team in designing innovative remediation data system to track regulatory deficiencies and remedial measures.
• Evaluated Broker-Dealers supervisory control processes in preparation for meeting the compliance requirements of annual CEO Certification Process (NASD Rule 3012 & 3013).

 

NASD Regulation, Inc. (n/k/a FINRA), Chicago, IL                                                                2004 to 2005  

Compliance Examiner, Member Regulation 

         Performed Cycle Examinations (financial, operational and sales practice examinations) of FINRA (Financial Industry Regulatory Authority) member firms.

         Examined Broker-Dealers Anti-money Laundering Compliance and Customer Identification Programs to ensure compliance with PATRIOT Act, Bank Secrecy Act, SEC and NASD Rules.

         Assessed Broker-Dealers supervisory control systems and member firms Written Supervisory Procedures for compliance with SEC and NASD Rules.

         Managed case docket of reviewing monthly and quarterly FOCUS Reports for member firms; served as lead examiner to respond to regulatory inquiries from assigned member firms.

         Oversaw case docket of 25 regulatory investigations involving securities and accounting fraud, successfully referring 75% of investigations for enforcement action.

 

Additional Experience:

Regulatory Legal Assistant, Legal People / NASD Dispute Resolution, Inc./ FINRA, Chicago, IL

Senior Associate, Economic Advisory Services, Grant Thornton, LLP, Miami, FL

Vice Chair, Social Assistance Review Board, Government Of Ontario, Toronto, ON

Judicial Clerk for Honorable Judge Drella Savage, Circuit Court Of Cook County, Chicago, IL

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Master of Business Administration, University of Illinois, Urbana-Champaign, IL  

Juris Doctor Candidate (2 years completed), Loyola University School of Law, Chicago, IL

Bachelor of Science, University of Toronto, Toronto, ON

Certificate of Completion, Examiner Training Program  

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Microsoft Word; Excel; PowerPoint; Visio; Access; Westlaw; Lexis/Nexis; Bloomberg; CRD