Manager Project

Executive Summary

CAMS certified Compliance professional with robust knowledge of U.S. and

Global AML laws and regulations (BSA Act, USA PATRIOT Act, OFAC & Global

Sanctions, and FATF Recommendations). Over 6 years of experience in

regulatory and compliance matters involving global customers. Proven

ability to operate in a global environment and handle complex compliance

and regulatory matters. Strong managerial, leadership, interpersonal and

project management skills

Professional Experience

MasterCard Worldwide, Purchase NY, 2010-Present

Compliance Manager - Anti Money Laundering

* Managing a team of 6 KYC specialists. The team is Responsible for

program governance and support the development, implementation, and

administration of all aspects of the global Anti-Money Laundering &

OFAC Trade Sanctions

* Develop/adapt policy and procedures to keep pace with business and

regulatory changes

* Oversee customer on-boarding and ongoing monitoring processes,

including risk-ranking, periodic diligence, and OFAC sanctions

screening for approx 24,000 accounts

* Direct and oversee system, technology, and process upgrades to ensure

efficient and effective implementation of AML & OFAC Trade Sanctions

compliance requirements

* Support new and evolving product constructs by identifying and

defining appropriate risk mitigation procedures to ensure adherence to

MasterCard AML & OFAC Trade Sanctions standards and requirements

* Serve as the expert on AML and OFAC matters for assigned regions and

respond to all internal and external inquiries on MasterCard's AML

compliance program. Manage ongoing relationships with relevant

departments and outside parties

* Develop/deliver training and communication on program requirements to

impacted groups

UBS Investment Bank, Stamford CT, 2009-2010

Compliance Officer - Anti Money Laundering

* Provided interpretation and guidance on the KYC, CIP, or OFAC

principals to business groups within the organization

* Performed monthly audits of customers KYC files to ensure compliance

with internal policies and procedures

* Analyzed PEP clients relationship and assessed whether the

relationship requires escalation and senior signoff

* Evaluated negative information and potential OFAC matches on new or

existing clients and provided guidance on materiality of negative

information and made recommendations as necessary

UBS Investment Bank, Stamford CT, 2007-2009

Compliance Specialist - Client On-boarding - Know Your Customer

* Supported senior management with day-to-day compliance efforts

regarding AML/KYC requirements

* Liaised with sales staff and relationship managers to identify

required KYC information

* Ensured that the clients' KYC documentation and information comply

with CIP standards

* Performed customer identification routines with the use of third party

services to validate customer-supplied information.

Apollo Group Corporation . University of Phoenix, Norwalk CT, 2006-2007

Lead Counselor

* Verified enrollment status and ensured students are eligible for

admission. This also included monitoring attendance, academic and

enrollment process to ensure that students comply with University

policies and procedures

* Ensured that students are being correctly placed in courses that meet

their academic goals. In conjunction with other University

departments, monitored group size to ensure operational effectiveness

and academic integrity in place

Education & Certifications

* 2007: University of Phoenix, Masters in Business Administration - MBA

* 2006: University of Connecticut, Bachelors of Science in Business

Technology & Finance

* 2011: Certified by the Association of Certified Anti-Money Laundering

Specialists (ACAMS)

* 2011: Attendee at 16th and 17th Annual International Anti-Money

Laundering Conference

* 2009: Certified Notary Public by the Office of the Secretary of the

State

* 2004: Certified Client Associate By JP Morgan Chase

Professional Skills

* Compliance Tools: BankersAlmanac, D&B, LexisNexis, Bloomberg, Westlaw,

FACTIVA, WorldCheck, RDC

* Computer Applications: Microsoft Office Suite (Excel, Word,

PowerPoint, Access), Microsoft Project, Microsoft Visio

* Languages: Fluent in English, French, and conversational in Spanish

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