Chicago, Illinois, United States
To contact me: [email protected] Senior Compliance Officer and Regulatory Risk Leader with extensive experience overseeing global financial compliance programs and regulatory adherence. Skilled in ensuring compliance with the Bank Secrecy Act (BSA), USA PATRIOT Act, FINRA, SEC, and other financial regulations. Proven success in developing, implementing, and leading robust compliance, risk, and governance frameworks to mitigate financial crime and regulatory risks. Regulatory Compliance | Risk Management | AML Program Development | Oversight | ACAMS Certified | Risk Assessment | Enhanced Due Diligence (EDD) | Politically Exposed Persons (PEP) Risk Management | Know Your Customer (KYC) | Customer Due Diligence (CDD) | Regulatory Reporting | Audit Coordination | Policy & Procedure Development | Transaction Monitoring | Investigations I Advertising & Marketing Reviews | Series 7, 63, 24 | CAMS Certified
• Performed compliance reviews including communications oversight and documentation assessments to support supervisory requirements • Identified potential regulatory issues and escalated findings to senior management for resolution
• Led day-to-day AML program support, including escalation triage, internal investigations, sanctions screening, and onboarding advisory. • Acted as subject matter expert on PEP, sanctions, and sensitive industry risks, conducting global reviews and drafting recommendations. • Stepped up to manage the CAMLO office solo for a year, ensuring uninterrupted compliance operations during resource gaps. • Owned end-to-end AML risk assessment process and achieved a satisfactory rating through cross-team collaboration. • Served on UBS’s Digital Asset Working Group, contributing to the review and risk assessment of cryptocurrency and virtual asset investments for platform integration. Partnered with legal, technology, and product teams to ensure AML, sanctions, customer due diligence, and risk rating methodologies were embedded in onboarding and monitoring frameworks. • Created escalation tracking dashboards and metrics, enabling leadership visibility and securing additional headcount. • Streamlined policies and procedures to reduce friction in onboarding and monitoring, resulting in faster turnaround and fewer escalations.
(Promoted to Senior AML Officer in 2018) • Approved Reg M reviews for time-sensitive trades, expanding firm participation in market offerings. • Conducted compliance testing and AML reviews, addressing risk areas through updated policies and procedures. • Reduced errors by streamlining error review and reporting processes with portfolio managers and traders. • Managed Form ADV submissions, incorporating stakeholder input for timely and accurate filings. • Enhanced trade surveillance by implementing Order Management System (OMS) rules to reduce manual compliance review.
• Oversaw review of marketing materials, investment letters, and performance reports. • Managed assignment workflow and escalations to ensure timely compliance sign-offs.
• Developed procedures for compliance with the Investment Company Act of 1940, Investment Advisors Act of 1940, Sarbanes-Oxley, SEC, and FINRA rules. • Established and served as Chief Compliance Officer (CCO) for a limited-purpose broker-dealer supporting private placements. • Built compliance program from the ground up, including AML responsibilities.
• Promoted from Junior Examiner to Senior Examiner while auditing 30 branches for adherence to AML, sanctions, regulatory rules and supervisory requirements. • Conducted branch reviews, prepared audit reports, and trained staff to remediate deficiencies.