Human Resource Management
Resume:
Mary Ann LaBella
Staten Island
************@*****.***
Education: Pace University, New York, BBA in Finance, June 1989
Experience:
UBS Private Bank & Trust: Compliance and Operational Risk Nov 2016 – 12/2
Consultant: UBS PRIVATE BANK & TRUST COMPLIANCE
●Conducted assessment of the applicable Dodd Frank laws and rules to the products and services of the UBS banking branches. Identified discrepancies in the present process and presented gathered information and possible solutions to the lines of business.
●Identified internal controls from current policies and procedures and conducted a gap analysis.
TD Bank Jun 2016 – Aug 2016
Consultant (Per Diem): Quality Assurance; Retail Credit Services
●In light of a CFPB issue, responsibilities included; quality control reviews of existing process with respect to merchant and dealers websites that participated in TD credit financing to ensure compliance with regulatory guidelines.
●Identified discrepancies in the present process and presented gathered information and possible solutions to the lines of business.
●Identified and evaluate complex risks, internal controls which mitigated risks, and related opportunities for internal control improvement.
Intesa SanPaolo Jan 2016 – Mar 2016
Consultant: Compliance
●Assisted in the remediation efforts as a result of a New York State Regulatory exam.
●Identified and evaluated complex risks, internal controls which mitigated risks, and related opportunities for internal control improvement.
●Participated in the drafting and maintenance of the transaction monitoring program/system documentation, policies, procedures and operating manuals.
●Assessed, identified and communicated regulatory and compliance risks related to BSA/AML including KYC and OFAC.
Bank of America Merchant Service Jul 2015 – Oct 2015
Consultant: Human Resource Business Control Office
●Monthly HR risk tested with reporting and trend analysis.
●Tracked of Human Resource laws and legislations (Federal, State and Local laws).
●Managed and oversaw the Human Resource Compliance SharePoint Site.
●Risk Control Self-Assessment (RCSA) - Provided action plans and remediation efforts; tracking of Human Resources risk and controls inventory.
●Regulatory monitoring and tracked of emerging risk.
●Prepared Human Resource quarterly risk senior management meetings.
●Reviewed Policy and Procedure (gap analysis).
Capital One Jan 2015 – Jun 2015
Consultant: Commercial Banking /Business Risk Office
●Provided guidance to testing teams concerning Program requirements.
●Documented and assisted in the communication of QA results to Compliance Officers and staff, ensuring remediation of actions requiring attention.
●Developed or enhanced procedures and tools comprising the Testing Program Methodology.
●Assisted with monthly/quarterly testing and supported special projects and other duties as assigned.
United Bank Limited Jul 2013 – May 2014
Country Compliance Officer/AVP/BSA Officer
●In light of a Federal Reserve Bank Enforcement Action: Responsible for BSA/AML/OFAC and Customer Onboarding; Monitored and advised business on compliance issues arising out of the Bank’s line of business activities as it relates to Click N’ Remit Service, Foreign Correspondent Banking, Trade Finance and Foreign Wire Operations.
●Oversaw the Anti-Money Laundering (AML) transactions monitoring system for the NY branch that includes investigation(s) on escalated cases for SAR filing and monitoring.
●Oversaw OFAC functions of the branch, which includes dealing with Office of Foreign Asset Control of US Treasury Department as and when required. Maintain Control Function Checklist (CFC) related to OFAC reports for rejected/blocked items and reporting. Worked with outside vendor to improve current system regarding OFAC monitoring.
●Handled FinCEN 314(a) requests received from regulatory/government agencies.
●Handled Subpoenas, NSL and Garnishment orders including other legal issues related to compliance and coordinating with outside legal counsel as and when required.
●Kept abreast of FRB regulations applicable to the NY branch including maintaining of records.
●Annual review all customer account files to meet KYC requirements and for customer due diligence (CDD) including enhanced due diligence (EDD) as well.
●Periodic review of abandoned property for surrendering unclaimed funds and coordinating with the New York State Comptroller’s office.
●Provided guidance to branch on AML related project work, documentation requirements, account opening procedures and technology issues.
●Created and maintain branch risk assessments.
●Prepared Quarterly Compliance Review reports for onward submission to Chief Compliance Officer and the Board of Directors of the Bank.
●Coordinated with senior management of the bank in resolving day to day and other compliance issues including independent audits of the branch for compliance.
●Updated staff as well as senior management with changes of laws/regulations including AML news in the media.
●Arranged and conduct compliance training with outside consultants for all staff members.
●Coordinated with outside consultants to implement and maintain project work related to compliance within the branch.
BNP Paribas Investment Partners Jul 2011 – Sept 2012
Senior Compliance Officer
●Responsible for the Compliance Monitoring Program and tested for the North American territory as well as policies and procedures and processes, included client on-boarding, dealing and trading, managing and advising, client reporting and communication, operations, product development, governance, risk management, AML, regulatory matters and investment compliance. Drafted risks/controls language as they relate to the Investment Advisers Act Policies and Procedures. Provided proof of compliance with the written risks/controls and provide action plan to remediate. As a result of Dodd-Frank regulations, certain Non-U.S. affiliates were registered with the SEC. Responsible for leading a Compliance Committee to review, implement and train applicable employees with respect to Policies and Procedures, Code of Ethics and Testing.
●Tracked regulatory developments and implement/update Investment Advisers Act Policies & Procedures.
●Provided compliance related training to employees.
●Coordinated audit preparation and document production.
●Assisted with regulatory requests and responses.
●Independently managed process of routine compliance.
●Responsible for NFA/CFTC filings and employee license and ethics requirements.
●Coded of Ethics Administrator.
●Reviewed Code of Ethics and Investment Advisers Polices & Procedures with new employees.
Dreman Value Management, LLC Aug 2008 – May 2010
Compliance Manager
●In light of an upcoming SEC Exam, responsible to assist CCO enhance the compliance program included; Implementing and managing an automated vendor Personal Trading application for the company which included all aspects of our Personal Trading Policy and quarterly employee certifications; Code of Ethics Administrator.
●Responsible for 206(4)-7 policies and procedures Compliance Program; Worked with business units to review applicable policies and procedures and amended as needed.
●Reviewed and approved all Sales and Marketing literature to existing and prospective clients which included RFP’s, presentations, commentaries, product cards and white papers for our Managed Accounts, Institutional and Retail businesses.
●Completed board reporting, contract renewals requests for Mutual funds, both advised and sub-advised.
●Client guideline monitoring; Created and troubleshot client restrictions and guidelines using Charles River.
Jennison Associates, LLP Jul 2004 – Mar 2008
Senior Compliance Analyst
●Managed, implemented and trained all employees on a customized, automated vendor Personal Trading application for the company which included all aspects of our Personal Trading Policy, for example, pre-clearance, 7-day blackout rule and quarterly employee certifications.
●Responsible for Jennison’s 206(4)-7 policies and procedures Compliance Program; Ensured compliance policies and procedures were kept up to date with respect to new regulatory requirements and new business products and initiatives; Communicated to employees and mutual fund clients; conducted all new hire compliance orientations.
●Reviewed and approved all Sales and Marketing literature to existing and prospective clients which included RFP’s, presentations, commentaries, product cards and white papers for our Managed Accounts, Institutional and Retail businesses.
●Responsible for all company regulatory filings including File 13F and 13G with respect to domestic holdings; Monitored international security holdings regarding respective foreign country holdings thresholds and worked with Legal to ensure all relevant filings were made in a timely manner; Also responsible for monthly Prudential reporting to our parent company.
Brown Brothers Harriman & Co. Jan 2003 – Jun 2004
Associate
●Responsible for all aspects of Anti-Money Laundering policies and procedures; approved all new accounts, monitored and reported, as well as regulations regarding the Bank Secrecy Act (BSA), USA Patriot Act, Customer Identification Program, Office of Foreign Assets Control (OFAC) and enhanced due diligence standards.
●Also responsible for interpreting changes to existing or introductions of new AML regulations and assessed any resulting issues with new or existing business initiatives. Report the impact of such changes to the Bankwide AML Policy and related procedures; identified and interpreted any issues, and addressed the resolution of identified issues within the context of the Bankwide AML Policy to the AML Officer. Also responsible for maintaining a current knowledge of market place AML best practices and trends within various business units.
Credit Suisse Asset Management, LLC Apr 2001 – Nov 2002
Assistant Vice President, Legal & Compliance
●Assisted in the creation and implementation of an Anti-Money Laundering process. Established Anti-Money Laundering policies; Reviewed transactions and trading for any suspicious transactions. Ensured compliance with the Bank Secrecy Act, OFAC regulations, and USA Patriot Act; Overseeing of KYC (Know Your Customer) issues; reviewed all new accounts and implemented KYC procedures.
●Responsible for Personal trading for all CSAM NY employees; Pre-Clearing trades; Monitored for blackout period violations and maintained a comprehensive report for the management committee.
●Created and managed an Approved Counterparty process for the business and made available on the CSAM intranet sight.
●Reviewed all U.S. Equity clients’ weekly restrictions reports to ensure compliance with client guidelines.
●Reviewed daily Downgrade Report.
●Conducted quarterly Manual Restrictions audit.
Citibank, N.A., Melville, NY Nov 1999 – Jan 2001
Compliance Manager
●Created and managed a comprehensive compliance unit, for a newly developed credit card telemarketing division, which included Inbound, Outbound and Test Center Units.
●Designed and implemented a new-hire orientation process; created a welcome book and conducted compliance training classes for all Sales Associates and Management staff.
●Acted as Business Information Security Officer; Designed an Information Security Schedule which consisted of all relevant employee information; Designed and implemented an information process to ensure the Financial Control team received relevant information in a timely manner.
●Responsibilities also included functioning as liaison between the business and the Top Secret Information Security Unit to ensure all system access and entitlements were properly assigned to each business unit.
J.P. Morgan Investment Management Inc., New York, NY Mar 1992 – Mar 1998
Compliance Assistant
●Conducted daily surveillance of personal trading activities of all domestic J.P. Morgan Investment Management Inc. employees: Interacting daily with firm’s trading desk and research department; reviewed confirmations and statements against restricted list, client activity, research recommendations and firm trading policy. Attended morning meetings of research department.
●Assisted in the design and implementation of a new personal trading policy; established mechanism for automatic data feed for surveillance purposes; participated in Personal Trading Task Force to design policies in light of ICI recommendations.
●Designed and implemented an exception report to assist in comprehensive surveillance of personal trading.
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