Customer Service Project Manager

Thomas A. Tanue

**** ******** **** **? BURTONSVILLE, MD 20866 ? PHONE: 301-***-**** ?

******.*****@*****.***

Compliance / AML Management & CONSULTING.

Banking and Finance Professional with extensive risk compliance and AML

management experience, with broad consulting exposures both in the U.S. and

internationally. Qualifications include:

. Certified Anti-Money Laundering Specialist (CAMS); NASD Series 6, 26,

63, Life and Health Insurance licenses.

. Thorough knowledge of Anti-Money Laundering (AML) and terrorist

financing laws. Detected and averted money laundering transactions and

participated with authorities in investigations. Developed and managed

AML / KYC compliance and training programs and trained banking and

customer service staffs.

. In-depth understanding of legal and regulatory expectations of the

Bank Secrecy Act, USA Patriot Act, FATF 40 Recommendations, as well as

economic sanctions programs of the OFAC.

. In-depth knowledge of designing Enterprise Risk Management Systems as

well as training and certification.

. Advanced knowledge of NASD and SEC regulations.

. Hired, developed and led plus 30 finance and banking professionals in

a wide range of environments.

. Expert in researching, analyzing and interpreting new laws and

regulations and determining their impact on company operating units.

. Bilingual in English and French.

. Proactive and focused with strong analytical skills and attention to

detail. Proficient in MS Excel, Word, Visio, SAP Fico, PowerPoint and

various financial services applications. Able to quickly learn and

apply new technologies.

Expertise includes:

. BSA / AML / KYC Compliance

. Independent annual AML Audits and certification

. Design/Implementation of AML Compliance Programs

. BSA/USA Patriot ACT/OFAC AML Compliance Training

. NASD and SEC Compliance

. International Payments Systems/Correspondent Bank Policies

. Treasury and Credit Operations/ Import/Export Financing and

Regulations

. Research, Analysis, Consulting & Documentation and Staff Leadership

. Customer Service (Internal and External)

. Auditor and Attorney Liaison

. Extensive knowledge on Money Service Business (MSB} AML Compliance

Matters.

. Thorough business intelligence skills and regulatory reporting.

Professional Experience:

MacArthur & Baker, Inc.( Bethesda - Maryland)

2007 to Present

AML Compliance Project Manager

. Head of AML Consulting Team for various projects including FDIC

Examinations of financial institutions. Joint projects with KPMG,

Pricewaterhousecoopers, Deloitte & Touche, Bearingpoint and Ernest &

Young etc.

. Have developed/implemented multiple AML compliance programs for US

Banks, Insurance companies & Securities, MSBs as well as foreign

banking and financial institutions.

. Expertise also include serving as project head for various independent

external AML audits and reviews for clients, review of internal AML

self audit for clients and recommendations/assisting clients in

preparation for IRS(BSA audits) and various examinations from

regulators.

. Developed robust AML training curriculums and assisted in ongoing AML

training and certification of client personnel.

. Have participated in several AML investigation assignments; developed

and initiated anti-money laundering surveillance reports; identify and

report findings to Legal, Compliance and business management; conduct

special investigations involving retail sales force, identify

operating deficiencies and recommended corrective action and obtained

understanding of regulatory and cultural differences in Canada, Europe

and Australia.

. Head of project for Branch Examination conducted on a client:

developed audit procedures while ensuring that all such requirements

are met, coordinated training "Introduction of Branch Examinations",

conducted review of all Examination work papers and reports, identify

and report deficiency trend analysis to Senior Management, Law

enforcement and Compliance department

In daily AML assignments for clients:

. Coordinate regulatory examinations - work closely with regulators,

legal counsel, Internal Audit, Compliance, and Retail Management;

ensure regulatory visits and examination are run professionally and in

a consistent manner; follow-up with management on findings and with

legal regarding response preparation;

. Preparation & Dissemination of Policies & Procedures - update company

policies and procedures; developed process of disseminating

information to Introducing Broker-dealers;

. Daily review of monetary activity reports, FinCen 314 notifications,

Customer Identification Program surveillance reports, Foreign Bank

surveillance; MIS reporting and made recommendations.

. Liaise with bank branches and regional offices; reported to business

and Legal Counsel relating to requests for information/SARs filings.

. Review Employee/Employee Related accounts; Conducted Annual

Compliance training for covered staff;

. Perform risk assessment of handling customer info and bank CIP/KYE/KYC

policies;

. Review hire policies, Licensing, Continuing Education and

certification policies

. Work closely with Legal Counsel regarding Customer Complaints, Legal &

Regulatory Matters;

World Financial Group / World Group Securities - Rockville, MD 2004 to

2007

Branch Office Compliance Officer:

. Performed duties as the broker/dealer registered compliance

principal. Duties included management of surveillance staff,

customer complaint resolution, oversight review of daily trade

blotters and compliance exception reports.

. Additional responsibilities included accuracy of Quarterly NASD

Complaint Filings, approval and tracking of outside business

activities of associated persons, approval and tracking of

brokerage accounts carried outside of the broker/dealer for

associated persons.

. Conducted branch examinations, with focus on high-risk locations,

internal reviews of registered representatives, and internal audits

of broker/dealer departments

. Supervise 30 registered representatives for a branch office of a

global financial services organization. Ensure branch maintains

strict compliance with NASD and SEC regulations (including Know

Your Customer (KYC) and "Suitability rules", keep all agents

apprised of new rules and regulations, and implement appropriate

procedures and controls to ensure consistent compliance. Train

staff, conduct performance reviews, and manage the

recruiting/hiring process

. Developed training materials to be used firm-wide for regulatory

mandated continuing education; created all written policy regarding

options trading; was a key person in analyzing department work

flow, creating efficiencies by eliminating unnecessary and/or

redundant functions and reallocating human capital towards more

focused goals.

. Composed and amended all Surveillance Department procedures.

Created new, comprehensive reporting system to keep senior

management apprised of key issues effecting the compliance

department and was responsible for Compliance status report for

presentation at broker/dealer board meetings. Designed and created

all compliance exception reports.

. Presented Compliance segment of Sales Supervisory Training held in

Rockville and LA and developed firm procedures regarding Patriot

Act requirements.

Environmental & Engineering Services, LTD - Douala Cameroon, Africa 1998 to

2003

Chief Financial Officer

Senior Finance and Administration Executive and Board member for this

start-up environmental consultancy, waste management, environmental

education and bioremediation firm with $5 million in annual sales. Broad

scope of responsibility included financial planning and analysis,

budgeting, cash management, banking, tax, payroll, administration matters

and public relations. Supervised a direct staff of 5.

BICS, LTD - Douala Cameroon, Africa 1995 to 1998

Managing Partner

Marketed and sold consulting services and managed consulting projects for

import/export business clients. Developed business plans for small and

medium sized enterprises. clients included the Cameroon Free Trade Zone

and consulted on several World Bank and IMF privatization assignments and

experience in working/collaborating with leading law firms.

. Contributed a solid understanding and analysis of import documents and

international payments systems during a joint financial/legal/criminal

audit at an oil refinery in Cameroon, involving an importation of

12,500 metric tons of light crude oil for $6.8 million where over-

invoiced proceeds were parked abroad.

. Contracted by a Dutch trading company to investigate huge losses

suffered through consignments of fertilizer shipped on D/A basis to

client who diverted sales proceeds. Results of

investigation/consultancy showed loss of over $600,000 due to improper

documentation, monitoring and accountability. Recommended a bonded

warehouse solution, thereby streamlining future exports and payments

for goods.

Amity Bank, SA - Douala Cameroon, Africa 1991 to 1994

Treasurer and Operations Manager

Hired to structure, set up and manage the treasury, foreign trade

service, and operations departments from the ground up. Developed a

comprehensive training program for bank staff. Opened and managed all

local and foreign correspondent accounts, initiated/authorized/supervised

all trades, remittances, placements, as well reconciliations of all

accounts. Negotiated account terms and conditions. Compulsory co-

signatory for all local and foreign correspondent bank operations.

. Uncovered and thwarted one of the first attempted money laundering

operations in Cameroon - a fraudulent foreign wire transfer of $1.2

million from Banque Indosuez. Assisted French Interpol and Cameroonian

authorities during the investigation process.

. Created and headed the "Foreign Desk Vigilante," a suspicious activity

prevention/tracking and reporting program. The program successfully

prevented substantial fraudulent and speculative wire transactions

from Nigeria on the eve of the devaluation of Franc CFA.

Bank of Credit & Commerce Cameroon, SA - Yaound Cameroon, Africa 1983 to

1991

Deputy Credit and Operations Manager

Managed a $100 million credit portfolio comprised of loans and advances,

including medium- and short-term loans, import/export LOC lines,

offshore/letters of guarantee and other forms of loan syndications (both

local and foreign). Account Officer for the Cameroon Public Debt account

with average monthly wire transfers of $25 million. Account Officer for

other major accounts, including a $30 million per month oil export/import

business and a $24 million US government fertilizer grant project. Served

on numerous committees and task forces regarding policy issues,

regulatory matters and asset protection.

. Detected and halted fraudulent disbursement of approximately $450,000 in

subsidy funds.

Education / Licenses

. University of Yaounde - Cameroon, Bachelors degree in Law .

Graduated Magna cum Laude

. Certified Anti-Money Laundering Specialist (CAMS)

. NASD Series 6, 26, 63; Maryland Life & Health Insurance

. SAP Fico with touch points in SAP GTS GRC

. Pursuing Certified Fraud Examiner's Examinations.

Completed hundreds of hours of continuing education and training covering

banking, insurance and securities products, credit and risk evaluation,

FX and international payments, treasury management, AML and compliance

across the world including: USA, France, UK, Germany, Pakistan, India,

Ivory Coast and Nigeria.

Member - Association of Certified Anti-Money Laundering Specialists and

Association of Certified Fraud Examiners

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