ROBERT A. JOHNSON

Milwaukee, Wisconsin

414-***-****

abmw5v@r.postjobfree.com

QUALIFICATIONS

J.D. and M.B.A. with diversified professional experience, including eleven

years of regulatory compliance experience, six years of branch audit

experience, five years of AML (Anti-Money Laundering), OFAC (Office of

Foreign Assets Control), and CIP (Customer Identification Program)

experience, and two years of extensive legal research and writing.

Experienced in drafting, reviewing, interpreting, and negotiating

contracts and agreements. Dependable, innovative, team player with

excellent oral and written communication skills.

1998 to Robert W. Baird & Co. Incorporated, Milwaukee, Wisconsin

2009 Financial services firm.

2004 to AML Compliance Officer - Vice President: Responsible for

2009 developing and monitoring AML, CIP, and OFAC policies and

procedures for five different business lines.

Monitored business activity by reviewing over 25 AML reports

and edits.

Uncovered over $25 billion in suspicious activity through AML

program.

Developed and invented five AML compliance reports to reduce

firm risk and effectively comply with regulations.

Responded effectively to regulators and regulatory inquiries

with outstanding results.

Officer of Baird Funds, Inc. responsible for reviewing AML

procedures for mutual funds with an asset value of $1.9

billion.

Established AML Reliance Agreements with over 300 investment

advisors on behalf of the firm.

Reviewed and approved AML Certifications and Selling Agreements

with over 200 investment advisors, mutual funds, and insurance

companies on behalf of multiple business lines.

Implemented and developed AML educational programs for the firm

at a cost savings of $40,000 per year.

Coordinated and successfully managed firm's Foreign Account

program by opening and monitoring over 1000 accounts.

Conducted due diligence on high risk accounts.

Served as 314(a) and 314(b) FinCEN (Financial Crimes

Enforcement Network) contact.

2000 to Compliance Officer - Vice President: Responsible for oversight

2004 of Baird's full-service Financial Advisors, including the

review of daily trading activity.

Audited Baird Branch Offices by successfully reducing levels of

risk while building strong working relationships with Branch

Managers, Financial Advisors, and individuals at the Home

Office.

Reviewed appropriateness of account transactions for 300,000

retail accounts assigned to 60 Branch Offices by reviewing

reports and edits.

Trained and informed Financial Advisors of compliance rules and

regulations.

Oversaw annuity and insurance business.

Dealt effectively with regulators.

1998 to NML/Baird Compliance Officer - Assistant Vice President:

2000 Responsible for compliance oversight of Northwestern Mutual

Life agents conducting financial transactions as Baird

Registered Representatives.

Audited OSJ (Office of Supervisory Jurisdiction), Satellite,

and Detached Office locations by successfully reducing levels

of risk while building strong working relationships with

Registered Representatives and the Home Office at Northwestern

Mutual Life.

Oversaw mutual fund transactions.

Reviewed and approved advertising, marketing, and

correspondence materials.

Responded to and reviewed regulatory inquiries.

1996 to Vlasak, Britton & Konkel, S.C., Milwaukee, Wisconsin

1997 Insurance defense law firm.

Associate Attorney: Responsible for managing caseload,

conducting legal research, and making court appearances.

Reviewed and investigated facts.

Drafted legal documents.

Evaluated and prepared cases for court and administrative

hearings.

Negotiated with other counsel.

Education: J.D., University of Wisconsin-Madison

M.B.A., University of Wisconsin-Madison

B.S., University of Wisconsin-Oshkosh, Summa Cum Laude

Licenses and Admitted to Wisconsin Bar, Eastern and Western United States

Certificatio District Courts of Wisconsin, and U.S. Court of Appeals for

ns: the Seventh District.

Series 7, 8(9/10), 24, 63, and 65.

CAMS (Certified Anti-Money Laundering Specialist).

CSOE (Certified Sarbanes Oxley Expert).

Insurance licensed for life and health.

Professional State Bar of Wisconsin.

Organization American Bar Association (Member of Section of Business Law:

s: Corporate Compliance Committee; Anti-Money Laundering and

Anti-Terrorism Initiatives Committee; and Civil Litigation

and SEC Enforcement Matters Committee).

ACAMS (Association of Certified Anti-Money Laundering

Specialists).

SOXCPA (Sarbanes Oxley Compliance Professionals Association).

Member of Deloitte AML Strategic Leadership Group.

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