Compliance, AML, audit, management, finance
Resume:
SUSAN LOCKWOOD, ESQ.
*** ***** **., **********, ** 06877
*********@***.****.***
EDUCATION
ACAMS Anti-Money Laundering Compliance, 2014
Pace University School of Law, JD, 2010
UCONN School of Law, visiting student, 2009
Colorado State University, BA Political Science
ABA Compliance School, 2015
Experienced with the Gramm-Leach-Bliley Financial Services Modernization Act of 1999, Fair Credit Reporting Act, Bank Safety Act/US Patriot Act, AML regulations, Investment Advisers Act of 1940, SEC regulations and FINRA regulations.
EXPERIENCE
Compliance Officer May 2015 - Present
Savings Bank of Danbury Danbury, Connecticut
Develop, implement and administer all aspects of the Bank’s Compliance Management Program
Promote a compliance culture throughout the bank
Develop and execute the annual audit plan
Interface with the FDIC, attorneys, the bank's compliance consulting and auditing firms as well as personnel and senior management throughout the bank
Provide analysis on compliance related matters
Implement all new regulations and keep abreast of all regulation updates
Chair the Compliance Committee quarterly meetings
Prepare Compliance Reports for the Board of Directors
Identify potential compliance risk
Maintain bank policies and procedures
Oversee and ensure accuracy of HMDA and CRA reporting
Compliance Auditor May 2012-February 2013
Cartus Danbury, Connecticut
Reviewed loss mitigation workout packages to ensure compliance with investor guidelines and within delegated authority in the real estate industry
Monitored data integrity and performed quality control audits to ensure contractual compliance and adherence to federal bank regulations
Analyzed financial documents, contracts and HUDs
Calculated debt to asset ratios
Trained co-workers to improve audit pass rate.
Funds Transfer and Client Services Manager 2000-2008
MBIA Insurance, Asset Management Division Armonk, New York
Managed daily operation of asset management client services and fund transfers overseeing a staff of six supporting 3500 municipal clients with investments of $7-11 billion
Streamlined processes to improve accuracy and efficiency of client services and fund transfer operations
Interacted with traders regarding fund transfers and daily fund balances
Ensured compliance with the Investment Advisers Act of 1940, SEC regulations and FINRA regulations
Audited transactions of fund transfer operations
Sales and management positions 1993-2000
Perrier and Vermont Pure
President and Owner 1992-1993
Sortable Socks Stamford, Connecticut
Originated a small consumer product company
Created and designed own product
Researched patents and coordinated manufacturing and marketing strategies
Financial Analyst 1988-1992
IBM Credit Corporation Stamford, Connecticut
Wrote and negotiated contract terms to multi-million dollar hardware sales/leases
Analyzed financial viability of hardware leases
Streamlined the pricing quote process increasing productivity and sales volumes
Administrator and Marketing Support 1983-1988
IBM Corporation New York, New York
Performed internal audits ensuring compliance with mandated processes
Administered sales for IBM Marketing Representatives
Introduced and taught mechanics of new sales initiative to IBM resellers
Presented to clients and internal corporate audiences; group size 10 to 200
CERTIFICATIONS AND LICENSES
Certified ACAMS Anti-Money Laundering Compliance Specialist
Licensed New York State Attorney
Licensed Private Pilot
AFFILIATIONS
Association of Certified Anti-Money Laundering Specialists/ACAMS
American Bankers Association
New York Bar Association
Federal Bar Counsel
American Bar Association
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