Vice President Insurance
Resume:
ROBERT A. JOHNSON
Milwaukee, Wisconsin
***********@*****.***
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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