Quality Assurance Team Leader
Resume:
CHRISTINA M. REA, ESQ.
Astoria, NY 11105
************@*****.***
AML/BSA & COMPLIANCE DEPUTY CCO/SME
Experienced compliance officer and subject matter expert with strong interest and background in AML, BSA, OFAC, FCPA, Cyber Security, and mortgage compliance. Highly detail-oriented with strong written and oral communication skills. Able to manage multiple projects in fast-paced environments. Thrives in the interplay between team collaboration and independent performance. Admitted to practice law in the State
of New York.
CORE COMPETENCIES
• Sophisticated Analysis & Research • Clear & Persuasive Writing • Proactive Problem Solving
• Relationship Building & Networking • Compliance & Auditing • AML, KYC, BSA, Sanctions, SEC
• Marketing & Social Media • Exemplary Managerial Skills • Editing and Quality Assurance (QA)
EDUCATION
Suffolk University School of Law, Boston MA
Juris Doctor May 2009
Honors and Activities: Dean’s List, Legal Research Fellow, First Place in Advocacy Competition
Bentley University, Waltham MA
Bachelor of Science May 2004
Finance Major
Honors and Activities: Dean’s List, Delta Sigma Pi, Honors Student, graduated cum laude, graduated in 3 years instead of 4
PROFESSIONAL WORK EXPERIENCE
MphasiS/Next Angles New York, NY
Deputy Chief Compliance & Legal Officer/SME 09/2015-Present
Develop cutting edge artificial intelligence for financial institutions that automates federal and local compliance processes and policies by providing in-depth knowledge of BSA and Patriot Act
Provide practical industry expertise and know-how in creation and development of new smart data based Sanctions, Fraud, Risk Assessment, KYC and Trade Finance solutions
Provide compliance and legal expertise to business analysts and ontologists and assist them in translating black letter laws and regulations related to particular use cases into ORMs and wire frames for AML, KYC, FINRA, Cyber Security and SEC compliance solutions
Responsible for actively marketing Next Angles through development of blog posts, white papers and marketing materials for presentation at industry conferences and face to face meetings
HSBC Financial Crimes Compliance New York, NY
AML Compliance Manager 07/2013-02/2015
Managed a team of six AML high risk monitoring investigators who specialize in reviewing accounts of high level government officials, politically exposed persons (PEPs), countries with memoranda of understanding (MOU), and Asia Pac correspondent banking customers
Assisted with transitioning retail banking transaction monitoring to HSBC’s compliance global standards (duties included but not limited to: escalating issues which posed high levels of risk to the bank, reporting to senior executives on production and quality, drafting memoranda containing suggestions for improving efficiencies, and advising on BSA and Patriot Act requirements)
Performed enhanced quality assurance (QA) on the investigations and subsequently escalated all unusual activity requiring suspicious activity reports (SARs)
Trained on-boarding/Advisory team on how to thoroughly complete CIP and KYC procedures in order to assist transaction monitoring in thoroughly mitigating risk for high risk customers
Developed a comprehensive and effective new hire training program for embassy, retail and correspondent banking transaction monitoring teams
Created a 2014 targeted risk assessment review for the embassy banking team to determine inherent and potential risks of customer base and AML investigation process
Collaborated with internal audit and risk analytic teams to ensure that detection scenarios properly captured anomalous activity and to review the quality and effectiveness of bank and department policies and procedures to make sure risk was properly mitigated
Reviewed all internal and external Matters Requiring Attention (MRAs) pertaining to embassy banking and correspondent banking and proposed recommendations for improvements
Navigant Consulting Global investigations & compliance New York, NY
Senior AML Consultant & Team Leader 03/2012-06/2013
Promoted to team leader, audit plan reviewer and peer mentor after four months with the company and managed the work product of 10 consultants
Drafted and filed SARs for numerous different typologies (structuring, high risk jurisdictions, unknown sources of funds, PEP activity) across multiple lines of retail and commercial business for top global retail banks
Selected after one week on an AML transaction monitoring project to lead a team dedicated to performing due diligence and enhanced KYC for politically exposed persons (PEPs)
Created audit plans to guidance issued by the OCC and FRB in order to develop guidelines for providing remuneration to adversely affected borrowers as a result of the 2008 mortgage crisis
Firm Advice New York, NY
Legal Consultant 04/2011-12/2011
Assisted law firms involved in multi-million dollar lawsuits with locating and organizing evidence during the discovery phase of litigation in FCPA, pharmaceutical and securities litigation cases
Reviewed the work of other consultants to ensure compliance with federal subpoenas
Identified, highlighted and summarized evidence crucial for trial preparation
Value Line LLC New York, NY
Securities Analyst & Reporter 11/2010-02/2011
Generated estimates using comprehensive Excel-based models that incorporated financial and economic data as well as industry-wide, company-specific, and demographic trends
Used discounted cash flow (DCF) analysis, peer-to-peer evaluations, historical price/earnings (P/E) ratio comparisons, and revenue and profit simulations to estimate future performance
Wrote clear, concise reports that detailed recent company-specific developments, industry-wide trends, valuation methodologies, and investment advice
INTERNSHIP/FELLOWSHIP EXPERIENCE
Suffolk University Law School Boston, MA
Employment Law Research Fellow 07/2009-12/2009
Researched international statutes relating to workplace bullying and compared with current US initiatives to assist in drafting national legislation on workplace bullying
Created first-ever index of current international statutes relating to workplace bullying
US Attorney’s Office – Financial fraud Boston, MA
Law Clerk/Financial Analyst 10/2005-09/2006
Interviewed potential witnesses and prepared summary reports for the attorneys' review
Researched and summarized relevant case law, published studies, and financial reports in pharmaceutical fraud cases for use at trial
Reviewed financial statements of large pharmaceutical corporations to assess inconsistencies with discovery materials and identify fraudulent testimony
MORGAN STANLEY ASSET MANAGEMENT Boston, MA
Junior Financial Planner Intern 9/2002-12/2003
Prepared portfolio performance reports for high net worth and institutional level investors
Researched and analyzed potential risks in order to optimize portfolio performance for investors
Created first-ever business plan model for senior level planners to share with potential investors
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