VP, Compliance Officer, Citibank
Resume:
Todd Philip Goldman
************@*****.***
Direct program-level Compliance experience ranging from AML qualitative assurance, dispositioning reporting as well as Regulatory exam sweep/survey experience and Anti-Bribery Policies and Procedures WORK EXPERIENCE
CITI Long Island City, NY
Vice-President, Global Anti-Bribery & Corruption May 2015 to August 2018 Coordinated Global Regional Teams on Global Anti-Bribery & Corruption’s Third Party Risk Management Policies and Procedures
• Regional Coordination: Responsible for maintaining regular contact with multiple Global Regional teams, including APAC, EMEA, Japan, LATAM, Mexico and North America via regular calls/emails keeping apprised of any areas of concern and escalating to upper management. Maintained log of all Global updates and ensured that requested changes were added to revised Procedures
• Global Training: Created training decks and provided both live training calls as well as pre-recorded sessions to ensure consistency with CITI’s Global Anti-Bribery Third Party Risk Management Policies and Procedures across all Global Regions
CITIBANK N.A. Long Island City, NY
Intermediate AML Compliance Analyst, FIU September 2010 to May 2015 Gained expertise on AML principles and processes, transitioned to SAR dispositioning
• SAR Filing to FinCEN: Manage daily upload of SAR file to FinCEN’s BSA E-filing website utilizing internal SAR database; execute all steps of time-critical process; train new members of SAR filing team
• Case Creation: Created cases in Quickscreens for Analyst dispensation; tracked same
• SAR Supporting Documentation: Provide Law Enforcement with requested SAR supporting documentation; expedite and log same
• Post Investigations/Closeout Team: Research related accounts for closure; modified report to streamline process; communicate close-out notifications to FA’s; trained new analyst in account closeout procedures
• Analyst Support: Responsible for assembling large universe of requested files, assess for completeness, and arrange for production, such as pulling ARR sampled cases for GCG testing; ad hoc database searches and retrievals across various platforms - SYS-K (Data Warehouse), SAR Database, CitiSmart, NESS, CRU, Filemaker Pro/Archive
• Metrics Reporting: Manage daily/weekly MIS reporting for Senior Management; follow-up on aged items with responsible team leads, drive team to reduce/explain backlogs
• Training: Regularly attend AML group training sessions CITIGROUP INC (Adecco) Long Island City, NY
Consultant, AML/CBSCO April 2010 to September 2010 Introduced to practical application of AML cycle and use of Citi’s AML systems
• Managed Daily MIS Report utilizing Filemaker Pro to determine ages of outstanding cases
• Responded to research requests employing multiple databases
• Loaded cases marked for closure into Filemaker Pro for ultimate determination
• Responsible for coordinating large archiving project of prior case materials onto shared drives Managed Excel database of archived documents, verified same in Filenet Image library CITIGROUP GLOBAL MARKETS INC. (Adecco) New York, NY Research Consultant, Compliance Regulatory Unit Feb 2004 to April 2010 Recognized for ability to balance multiple competing priorities, strong organizational skills, and consistently producing excellent and timely work in the fast-paced, deadline-driven environment of Regulatory Exams, Sweeps and Surveys
• Assisted in all aspects of regulatory examinations and production, coordinated responses provided by various Compliance departments and Business groups
• Created and managed database to track requests across multiple departments spanning IT, Legal Compliance and various business units
• Learned AML Compliance Policies covering CIP/KYC, SAR, EDD, USA PATRIOT Act and BSA
• Coordinated multiple aspects of initial compliance overview meeting between Citi GWM and visiting members of Nikko Cordial. Provided in-house Japanese-English translation and briefed Citi presenters on cultural etiquette
• Conducted detailed analysis of mutual fund transactions. Member of team that developed and implemented calculation, mailing, and payment systems to process client records as part of a large- scale assessment and remediation project
AMERICAN PEARL New York, NY
Manager, Sales & Operations Sept 2003 to Jan 2004
• Managed all aspects of retail operation including sales, billing, inventory and production PAUL, WEISS, RIFKIN, WHARTON & GARRISON, LLC New York, NY Paralegal Clerk, Litigation Apr 2003 to Sept 2003
Temporary Paralegal placed by TMP Worldwide, Litigation May 2002 to Apr 2003
• Supervised a large team of paralegals for document production, coding, and quality control projects during discovery phase of prominent securities litigations MICHAELS, WOLF & TENZER Beverly Hills, CA
Assistant Publicist, Public Relations Apr 1995 to Nov 1995
• Responsible for publicity for diverse group of talent, writers, directors, scheduling press interviews, arranging junket travel
• Created and maintained press kits for clients, gathering most current media JAPANESE / LANGUAGE SKILL
Translation Experience
• Documentary Film, “Samurai Umpires” - Dir. Takayuki Tanaka Narration Translation / Subtitles
• Documentary Film, “Hanaichimonme” - Dir. Takayuki Tanaka Narration Translation / Subtitles
• Guided / Translated for members of NY Village Zendo during trip to Kyoto in 2002 Certifications / Licenses
• Certified Level J3, BJT Business Japanese Proficiency Test Tokyo, Japan 2008 Japan External Trade Organization
• Certified Level Two, Japanese Language Proficiency Exam Tokyo, Japan 2006 Japanese Ministry of Education
Immersion
• Rassias Method Intensive Japanese Language, Dartmouth College Hanover, NH 2006
• Middlebury College Summer Intensive Japanese Language Program Middlebury, VT 2001
• Intensive Chinese Language Study, East China Normal University Shanghai, China 1991 Ongoing Coursework
• Japanese Language and Business Studies, Language House New York, NY 2006 to 2013 EDUCATION
HOFSTRA UNIVERSITY Hempstead, NY
BA in Liberal Arts with concentrations in Asian Studies, Communications and Psychology 1992
• President of Tau Epsilon Phi fraternity
COMPUTER SKILLS
• Proficient with Microsoft Office (Word, Excel, PowerPoint, Access) and Citi proprietary platforms ADDITIONAL SKILLS / LICENSES
• Graduate International Instructors Course, Yoshinkan Aikido Hombu Dojo Tokyo, Japan 2001
• Licensed Teacher of Yoshinkan Aikido, Yoshinkan Aikido Hombu Dojo Tokyo, Japan 2001
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