London, England, United Kingdom
Regulatory/ Compliance/ AMLRO/ KYC/ Paralegal/ Investigator Accomplished Regulator, Compliance Officer, AMLRO, KYC Analyst, Paralegal and Investigator with a unique combination of creative imagination, tenacity, resourcefulness and savvy whom is also experienced in management and implementation while holding a reputation for strong initiative-taking and problem solving abilities as well as a results-oriented approach and process improvements.
To ensure investigations and due diligence (KYC) pertaining to money laundering is conducted on all clients and PEP clients in the five operating divisions including but not limited to acquisition vehicles, client funds and company directors and staff involved in any transactions through NDSE.
Owner, Operator, and Manager of a fast paced investigations firm covering all facets of the business including but not limited to training, hiring, marketing, financial investigations, background searches and investigations, undercover mobile/stationary surveillance on civil and criminal cases and on individuals for workers' compensation fraud, disability fraud, insurance fraud and divorce cases. Consult attorneys on intricate matters including but not limited to chain of custody of evidence and technical surveillance matters. Key Contributions: Manage all facets of the business for quality assurance. Spearheaded investigations to save monetary loses in excess of $500, 000 to insurance companies, State agencies, and private individual clients. Obtained The State of Rhode Island as a client. Successfully handed all compliance and due diligence matters. Coordinated, assembled, and submitted reports, video findings, and Affidavits to clients', State agencies and insurance companies. Successfully investigated and testified on high profile cases that were subject to the media. Designed and implemented training manuals and materials and successfully trained large insurance companies' staff on insurance fraud. Maintained client relations for my Client's with their Client's on a national level. Worked collaboratively designing and improving a national client's reporting system, report layouts and company policy and procedure on a national level.
Acted as a Regulator in the Enforcement and Investigations Department with primary responsibilities to investigate public customer initiated complaints, terminations for "cause" (as reported on Form U-5- Termination Notice for Securities Industry Registration) and notices of disciplinary action (Form R-3) which are options sales practice related and/or involve other securities solely traded on The AMEX; in connection with sales practice investigations, examine supervisory personnel of member firm organizations and make reasonable determinations whether Exchange Rules and /or Federal Securities Laws were violated. Responsible for all facets for investigating sales practice related matters of member firm organizations which are also members of other option exchanges and the NASD and approved by the United States Securities Commission (SEC) which provides for the allocation of options sales regulatory responsibility. Key Contributions: Successfully analyzed customer trading which included buying equities, short selling, options trading, open purchases, covered and uncovered call writing, spreading and trading combinations along with producing detailed profit and loss reports, commission/equity ratio, turnover ratio, commission and fee analysis, research to determine trading strategies utilized and determined violations of Exchange rules and/or Federal Securities Law. Prepared extensive reports with exhibits on findings including recommendations of action(s) to be taken. Conducted "cause" examinations on member firms. Worked collaboratively with other Regulatory agencies including but not limited to the NASD, SEC, and other SRO's. Strategically interviewed and/or deposed customers, Registered Representatives, Branch Office Mangers, and member firm management.
Handled large caseload of intricate cases while adhering to tight deadlines. Key contributions: Successfully researched, performed and reviewed client's complex financial portfolios and various transactional reports to determine if the financials coincided with Federal and State laws. Effectively prepared Medical Assistance Applications with relating schedules and negotiated and dealt with conflict resolution on client related issues with outside counsel, financial institutions , insurance companies, and nursing homes. Created legal documentation for Probate and District Courts.
Monitored and investigated traders and LIFFE traders and acted as the firms AMLRO. Key contributions: Established and implemented AMLO procedures for the Firm. This included writing of the manual and conducting training seminars for all employees. Audited and conducted weekly and monthly error report checks. KYC investigations including but not limited to global clients. Participated in audits and investigations with the FSA. Analyzed potentially illegal trades through audio, video, and individual trade tickets and pit cards. Cooperated with outside counsel regarding contract and employment issues.