Manager Financial

RONALD E. WILHELM, ESQ.

Email: ******.*.*******@*****.*** Phone: 917-***-****

SUMMARY:

Results-driven leader and Subject Matter Expert in international financial crime and financial services compliance. Recognized global influencer in AML, AML risk management and analysis, Anti-Bribery, Sanctions and Corruption, terrorist financing, OFAC, FRB, OCC, CFTC and SEC compliance, and legal and operational risk. Superior knowledge of APAC, US and EU financial regulatory, risk, legal and legislative processes. Seasoned adviser with demonstrated achievements in developing, implementing and communicating highly effective regulatory oversight, compliance and sanctions schemes across multiple business and product lines. Member of Association of Certified Financial Crime Specialists. Decisive source for high quality and timely legal, financial regulatory and market risk advice and solutions for the institutional, hedge fund, private equity fund, private banking, investment banking, municipal finance and legal communities. Fluent in English and French. Manages teams effectively.

EXPERIENCE:

WILHELM CONSULTANTS LTD, Hong Kong, China & New York, NY Apr 2014 – Present

Executive Consultant, Legal, Compliance and Financial Regulatory Advisor

Participates in expert networks providing advisory services to financial services professionals and executives.

Provides broad compliance advice and solutions to multiple global banks and financial service entities.

Assessed AML risk management and compliance for global banks, including IT solutions, privacy issues and cyberecurity.

Developed oversight and monitoring of business adherence to global bank compliance programs.

Enhanced compliance and regulatory tools and methodologies for global banks and financial service entities.

Achieved designation as a certified global AML, OFAC, Anti-Bribery and Sanctions trainer and subject matter expert.

Leading influencer on potential regulatory and compliance schemes for crypto currencies and exchanges.

CITIBANK, N.A., Hong Kong, China May 2012 – Mar 2014

Senior Vice President, APAC AML and Financial Regulatory Advisor

Led APAC team responsible for oversight of cross-regional Anti-Money Laundering, OFAC, Anti-Bribery and Sanctions and financial regulatory programs for Global Markets and Investment Banking sectors.

Exclusively managed trans-Asia program (10 countries) designed to integrate AML/KYC clients’ records to comply with evolving APAC, OFAC and global financial regulations, including Volcker, CCAR, Dodd-Frank, FBR, OCC, CFTC and SEC.

Led uplift of 20,000 APAC Global Markets clients from paper applications to electronic platform per consent orders.

Analyzed complex AML, OFAC, Anti-Bribery and Sanctions financial regulatory issues and advised management for further dissemination to the entire APAC teams, including IT issues and upgrades, privacy issues and cybersecurity concerns.

Demonstrated consistent accuracy in problem identification, prioritizing and solving as well as superior managerial and decision-making skills.

Participated actively in multi-year strategy plans and audits designed to respond to specific and evolving APAC, OFAC and global financial regulations and requirements, including developing financial crime strategies and frameworks incorporating Volcker Rule, CCAR, Dodd-Frank, FRB, OCC, CFTC and SEC.

Originated APAC adoption and refinement AML risk management and compliance review of all new and existing products in ICG, Global Markets, Investment Banking and Private Bank.

Assisted with oversight, monitoring and audit and tracking of business adherence to action plans and remediation results.

Provided financial regulatory expertise and reporting to risk management, trade monitoring, audit and other cross functional committees, including fund boards and senior management.

Provided highly sought after advisory services on all APAC regional regulatory escalations.

MATCHPOINT INVESTMENT MANAGEMENT ASIA LIMITED, Hong Kong, China Dec 2010 – Feb 2012

Chief Operating Officer, General Counsel and Compliance and Risk Management Officer

Engaged as principal officer of event-driven hedge fund, primarily responsible for US$300 million in new investments.

Prepared and updated offering documents, including immediate client required reorganization of comingled fund into master/feeder structure, and negotiated complex side letter arrangements with new clients.

Managed and supervised fund, manager and adviser operations and financial and regulatory reporting.

Communicated with investors and potential investors by writing and discussing monthly and quarterly reports.

Managed and supervised service provider relationships, including multiple prime brokers, execution brokers and ISDA counterparties and local and international legal advisors, regulators and auditors.

Prepared and/or reviewed all legal structures, derivations and documents, including ISDA arrangements, managed accounts, swaps, derivatives and fund, manager and adviser board meetings and communications.

Monitored trading and research activities, including industry focus on appropriate uses of experts.

Conducted global policy reviews of financial regulatory developments and planned business responses thereto.

Coordinated SFC reporting and compliance requirements, including those required by evolving derivative schemes.

Formed strong relationships as founding member of Managers Roundtable, AIMA Hong Kong Governance Section.

BARCLAYS CAPITAL, New York, NY Dec 2009 – Jun 2010

Director of Compliance, Global Markets

Acted as senior member of compliance team responsible for supervising fixed income and market trading operations as part of global compliance efforts.

Managed compliance team; supervised global and regional compliance projects; provided gap and risk analysis reviews of trading desks, including LIBOR risks; conducted global policy reviews; reviewed compliance training programs; and advised legal, business and marketing principles on compliance directives impacting existing and new bank products, including structured products and derivative options, futures, forwards and swaps.

Acted as veto holding member of Municipal Finance Review Team tasked with reviewing and approving or rejecting all potential engagements or add-ons for multiple types of municipal finance covering diverse sources of revenues.

RONALD E. WILHELM, ESQ.

Email: ******.*.*******@*****.*** Page Two Phone: 917-***-****

PARADIGM GLOBAL ADVISORS, LLC, New York, NY 2005 – 2009

Chief Operating Officer, General Counsel and Compliance and Risk Management Officer

Served as principal member of management team directing compliance, legal, risk and fund administration teams.

Resolved prior CFTC penalties and negotiated reduction of $750,000 overdue fine to settled amount of $75,000.

Developed management and strategic business plans/directives, including leverage levels and swap arrangements.

Negotiated structured and derivative products in response to client risk preferences, including principal protection and yield enhancement products.

Developed and implemented highly effective strategies to improve compliance, legal, training and oversight capabilities for 25 employees and multiple service providers.

Created and managed domestic and off-shore master funds feeding into various multi-strategy investment schemes.

Provided key gap analysis of operational risks and potential fraud related to new and ongoing fund investments.

Monitored new and existing investments in over 100 underlying managers grouped by multiple geographies, strategies and products, including Asian, equities, fixed income, emerging markets, futures and mortgage and asset-backed securities.

Investigated underlying funds’ corporate and financial structures, trading irregularities, investment guidelines and exceptions, reporting and audit delays and adherence to written policies and procedures and methodologies.

Started and ran as officer of RIA.

EOS FUND SERVICES, LLC, New York, NY 2003 – 2005

Managing Director, Outsourced Chief Compliance Officer – Chief Legal Officer

Founding Managing Director providing all legal, organizational, corporate development and marketing services.

Served as principal marketing partner generating new business that quadrupled revenues and employees.

Managed back and middle office activities of mutual fund, investment advisory, private equity and endowment clients.

Created only SEC reviewed and approved compliance manual covering proprietary trading, mutual fund and investment advisor compliance programs, policies and testing procedures.

Served as primary compliance advisor to independent board of major specialist manager of single and multi-currency fixed income investment portfolios, with strategies including global government bonds, agencies and sovereigns, Asian, corporate credit, mortgage and asset-backed securities, FX, currency overlays, structured securities, emerging markets, high yield debt, and inflation-linked securities.

Directed all client AML and KYC audits, and developed responses to regulatory inquiries and examinations.

Conducted extensive, on-site compliance and operational due diligence reviews of new and existing fund managers and RIAs on behalf of investment clients.

MORGAN STANLEY, New York, NY 1998 – 2003

Associate, Distressed Debt Trading Operations – Compliance Counsel

Provided trading floor leadership for operations, compliance/risk oversight, documentation and closing settlement teams specifically for distressed and par bank loan trading/sales desk and for high yield bond trading and derivatives groups.

Managed team responsible for increasing distressed debt trading results from one trade per month to 300+ per day, generating $400M+ in annual net revenues.

Provided compliance guidance and training on rules and regulations relating to trading, pricing, operational issues, transactional approvals, and the application of internal compliance policies to day-to-day activities.

Collaborated with other internal areas including legal, middle-office, sales management, operations, technology, in-business risk, and market surveillance to address fixed income compliance issues.

Performed timely legal and compliance reviews of new transactions, products, and trading methods.

Provided daily advice to multiple business units on sales, regulatory, and transactional issues, including suitability, communications, conflicts, trade execution, ISDA and swap document preparation, negotiation, and interpretation.

Transported distressed desk activities to APAC by setting up Tokyo office and training personnel.

PARKER CHAPIN FLATTAU & KLIMPL, New York, NY 1994 – 1997

JONES, DAY, Paris, France and Cleveland, OH 1986 – 1993

International Corporate and Securities Attorney; Member of Paris and Ohio State Bar Associations

10-year tenure as corporate attorney with large international law firms with European and Asian offices.

Experienced in sophisticated corporate and business law, mergers and acquisitions, equity and debt offerings, international corporate matters, securities law, finance and banking, compliance and financial regulatory issues, competition, bankruptcy and antitrust (American and European Union) law.

Four years’ experience in Paris office of international law firm representing European, Asian, and American corporations in cross-cultural legal, business and financial regulatory matters.

Superior verbal and written communication skills in English and French (native fluency with business focus).

CENTRAL INTELLIGENCE AGENCY, United States Government, Washington, D.C. 1983

Graduate Fellowship in Operations Directorate

Researched Soviet counter-intelligence methodologies

EDUCATION:

Brigham Young University, Provo, Utah

Juris Doctorate, cum laude

Master of Arts, International Relations

Bachelor of Arts, French, summa cum laude

Previous holder of Series 7 and 63 securities licenses in US and SFC Papers 1 and 8 securities licenses in HK.

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