Richard H. Smith

*** ***** **** **** #***

Yardley, PA 19067

215-***-**** abm7yk@r.postjobfree.com

SUMMARY OF QUALIFICATIONS

. In-depth knowledge of policies & procedures related to maintaining an

effective BSA/AML Compliance program to deter/detect money laundering,

terrorist financing and fraud at a global financial institution.

. Significant experience in the detection, investigation and reporting of

unusual/suspicious activity in financial services and as a financial

crime investigator with the U.S. Department of the Treasury.

PROFESSIONAL EXPERIENCE

The Bank of New York Mellon 2000 - 2009

Vice President, Compliance

. Reviewed high-risk accounts/products and investigated

accounts/relationships identified as having unusual transaction activity

as part of the company's Anti-Money Laundering Oversight Committee

(AMLOC).

. Subject matter expert for the development and delivery of company wide

Anti-Money Laundering (AML), Know Your Customer (KYC) and Office of

Foreign Assets Control (OFAC) training programs.

. Developed programs related to procedures for detecting and reporting

unusual or suspicious activity, which were delivered to over 24,000

employees globally.

. Advanced AML programs were customized for mid-level and senior staff in

various business areas (wealth management, international banking, and

internal audit) for instructor led and on-line delivery.

. Developed and delivered programs related to various legal/regulatory

issues including Code of Conduct, Ethics, Privacy, Insider Trading and

the Foreign Corrupt Practices Act (FCPA).

Department of the Treasury, U.S. Customs Investigations 1985 - 2000

Special Agent in Charge, Philadelphia 1994 - 2000

Managed U.S. Customs investigative activity in Pennsylvania, Delaware and

New Jersey and a staff of over one hundred special agents, intelligence

analysts and support personnel.

. Managed complex fraud investigations which resulted in successful

criminal prosecutions and multimillion dollar criminal and civil

penalties.

. Responsible for the dismantling of numerous money laundering networks

involved in the laundering of illegal proceeds including those of

organized crime, fraud and other white-collar criminal activity.

. Created and managed an asset forfeiture investigation group as a pilot

which subsequently became a national priority program.

Chief of Administration. US Customs, Washington, DC 1993 - 1994

Acted as the Chief of Staff and principal advisor to the Assistant

Commissioner, Office of Investigations in all administrative issues.

. Formulation and execution of budgets of $240 million in salary and $60

million in operational funds.

. Responsible for the basic and advanced training programs for

investigators and intelligence personnel.

. Developed an advanced Financial Investigations course and an Undercover

Operations program to be presented at the Federal Law Enforcement

Training Center.

Area Director, Foreign Operations, Europe & Americas 1991 - 1993

Responsible for oversight of the investigative areas of the Customs Attach

offices located in American Embassies throughout Europe, Canada, Central

and South America.

. Provided oversight to the development and implementation of financial

crime task forces in London, England and Caracas, Venezuela.

Richard H. Smith Page Two

Department of the Treasury, U.S. Customs Investigations (Continued)

Chief, International Money Laundering, Financial Investigations Division

1990 - 1991

Partnered with foreign banking, regulatory and law enforcement counterparts

to develop legislative and regulatory changes compatible with US money

laundering control laws in an effort to disrupt international money

laundering networks and develop a global strategy to attack illegal

organizations that use the international payments systems to legitimize

their profits.

. Development and delivery of money laundering control training programs to

be delivered to foreign law enforcement counterparts in Central and South

America.

Assistant Special Agent in Charge, Strategic Investigations, New York

1989 - 1990

Planned and directed all investigations relative to the exportation of

critical technology and munitions items in violation of International

Traffic in Arms Regulations (ITAR) and Department of Commerce export

control regulations. Most were high profile international investigations

which impacted on National Security issues.

Assistant Special Agent in Charge, Smuggling/Financial, JFK International

Airport, NY 1986-1989

Planned and directed all investigations relative to the smuggling of

narcotics and criminal proceeds at JFK Airport. Headed the JFK Narcotics

Smuggling Unit, a task force of DEA Special Agents and New York City Police

Department Detectives.

Program Manager, Financial and Smuggling Investigations 1985 - 1986

Responsible for programmatic oversight of all financial and smuggling

investigations within the jurisdiction of the Special Agent in Charge

offices in New York, Newark and JFK International Airport.

EDUCATION

BA, Sociology, Niagara University, NY

PROFESSIONAL ORGANIZATIONS

The Association of Certified Anti-Money Laundering Specialists (ACAMS)

The Association of Former Customs Special Agents (AFCSA)

Pennsylvania Association of Licensed Investigators (PALI)

COMPUTER SKILLS

Microsoft Office (Word, PowerPoint, Excel)

Fortent/Searchspace

Lexis Nexis

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