ARTHUR F. SIEGWARDT, CRCM ***** Muddy Creek Lane ? Fort Myers, FL 33913
239-***-**** ? abmq9k@r.postjobfree.com
COMPLIANCE - DIRECTOR / VICE PRESIDENT / OFFICER
Reliable decision-maker, defining and resolving companywide security and
regulatory issues through industry expertise
Strategic leader offering over 15 years of documented success in regulatory
compliance and internal audits, directing complex initiatives to realign
operations with state and federal requirements. Develops innovative
training programs to enhance quality and consistency. Delivers critical
solutions and continuous improvements, establishing internal and external
relationships to maintain efforts within time and specification measures.
CORE STRENGTHS
Policy Development/Implementation . Bank Secrecy Act . Training/Development
Anti-Money Laundering . Troubleshooting . Quality Assurance
Project Management . Team Leadership
SELECTED ACHIEVEMENTS
Project Management & Continuous Improvement
. Orchestrated American Bank of Hollywood's audit committee, providing a
forum to communicate findings to the board of directors.
. Recruited to recover Marine National Bank from a Memorandum of
Understanding (MOU) by conducting comprehensive compliance audits and
staff training to mitigate issues; served as the on-site compliance
officer during the OCC exam to lift the MOU.
. Merged Riverside Bank of the Gulf Coast's compliance and security/fraud
departments to reduce operational process redundancies, creating a
combined audit/compliance division with two vice presidents and four
shared staff members.
. Headed customer identification program (CIP) improvement initiatives,
leading and completing regulatory data clean-up for a database with
60,000+ customers within time constraints.
. Automated financial functions and inventory controls for Dynatron, Inc.,
reducing month-end data transfer times to the general ledger.
Regulatory Compliance & Training/Development
. Revitalized Southeast Bank's compliance monitoring program by traveling
on-site to perform first-hand reviews as well as initiating formalized
audit programs that coincided with the organization's multi-bank holding
structure. This enabled the holding company's compliance officer to
efficiently measure compliance standing.
. Identified cost-efficient, web-based programs to facilitate regulatory
training, enabling the integration of new programs across four Riverside
Bank of the Gulf Coast locations.
. Completed comprehensive reviews for various operational areas, including
customer service, loans, and tellers to enhance the quality and
consistency of regulatory input data.
. Authored auditing training materials to complete statewide regulatory
compliance cross-training initiatives.
. Appointed as a seminar leader for Southeast Bank's statewide, internal
Commercial and Consumer Lending School.
Continues...
ARTHUR F. SIEGWARDT, CRCM 239-***-**** ? abmq9k@r.postjobfree.com ? Page
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CAREER OVERVIEW
Vice President, BSA & Compliance 2008 -2009
HILLCREST BANK FLORIDA
. Oversaw and managed the facility's Bank Secrecy Act (BSA) and compliance
programs, assessing transaction monitoring reports on a daily basis and
facilitating Currency Transaction Reports (CTR).
. Conducted Suspicious Activity Report (SAR) investigations and risk
assessments.
. Developed and administered regulatory policies.
. Served as an audit coordinator, maintaining communication between
management, regulatory agencies, and third-party firms.
. Evaluated loan and deposit information/advertising to ensure compliance
with customer regulatory requirements, including regulations Z, B, DD,
RESPA, HMDA, and CIP.
Vice President, BSA & Compliance 2006 -2008
PARTNERS BANK
. Oversaw and managed the facility's Bank Secrecy Act (BSA) and compliance
programs, assessing transaction monitoring reports on a daily basis and
facilitating Currency Transaction Reports (CTR).
. Conducted Suspicious Activity Report (SAR) investigations and risk
assessments.
. Developed and administered regulatory policies as well as the company's
web-based training program.
. Evaluated loan and deposit information/advertising to ensure compliance
with customer regulatory requirements, including regulations Z, B, DD,
RESPA, HMDA, and CIP.
Vice President, Compliance 2004 -2006
RIVERSIDE BANK OF THE GULF COAST
. Incorporated and maintained the compliance program and BSA initiatives,
leading a 4-member team.
. Directed internal audits, coordinating efforts between the bank, state
and Federal Reserve regulatory agencies, and third-party entities.
. Previously functioned as BSA/ CIP officer, handling SAR investigations
and BSA/AML risk assessments.
Consultant 1998 -2004
. Delivered internal auditing, regulatory compliance, and training services
to small banks and CPA firms, including Sean Davis & Associates, Carrier
& Company, First State Bank of Fort Lauderdale, First Western Bank,
Marine National Bank of Naples, and The Outsourcing Partnership LLP.
Auditor/Compliance Officer & BSA Officer 1991-1998
AMERICAN BANK OF HOLLYWOOD
. Directed internal financial, operational, and compliance audits on the
consumer, state, and federal level.
. Provided training and professional development to bank staff members in
compliance policies, advancements, and issues.
. Established and monitored CTR exemption limits; led SAR investigations.
Previous Experience: Corporate Compliance Review Officer
SOUTHEAST BANK, NA
. Maintained compliance with federal, state, and Office of the Comptroller
of the Currency specifications and regulations. Completed statewide
compliance reviews.
. Supported and trained management in compliance issues. Authored a
corporate compliance manual.
CREDENTIALS
Certified Regulatory Compliance Manager (CRCM), INSTITUTE OF CERTIFIED
BANKERS
Bachelor of Arts, HOFSTRA UNIVERSITY
Affiliations: South Florida Compliance Association