RICHARD F. GUDAITIS

*** ******* ***** ****: 631-***-****

South Huntington, NY 11746 ad2i0l@r.postjobfree.com PROFILE

Banking and Securities industry compliance and surveillance professional with twenty-eight years of managerial, analytical, and operational experience in banking, and self-regulatory environments covering all asset classes. Thorough knowledge of regulations mandated by FinCEN/U.S. Patriot Act, Office of Foreign Asset Controls, (OFAC), Bank Secrecy Act, (BSA), Financial Industry Regulatory Authority, (FINRA), and the Securities and Exchange Commission, (SEC),

PROFESSIONAL EXPERIENCE:

HSBC BANK, (11/10 - Present)

EQUITY COMPLIANCE OFFICER – Financial Crimes Compliance, New York, NY, (11/2019 - Present

• Conduct case reviews of trader, firm and client transactions for cash equities, equity options and futures.

• Coordinate and liaise with in-house technology and external technology vendors for refinement and testing of trade capture systems for compliance with mandated Federal Reserve Bank deliverables.

• Manage price and volume thresholds for rule sets Front-running, Insider Trading, Layering, Market Price Manipulation, Marking the Open/Close, Spiking, and Ramping.

• Liaison to AML Investigations regarding suspicious trading activity and identify/mitigate bank risk. SENIOR INVESTIGATOR – Anti-Money Laundering - Financial Crimes Compliance, New York, NY – 11/2010-11/2019

• Conduct investigations involving money laundering, terrorist financing and other related financial crimes originating from production orders, 314(a’s) and 314(b’s), correspondent banking, tax evasion, OFAC sanctions breaches, credit card fraud, check fraud, bribery, and corruption to identify patterns of suspicious activity.

• Manage bi-weekly FinCEN 314(a) wire requests.

• Managed daily Global Trade and Receivables Finance process.

• Advisor to Financial Crime Risk regarding customer retention or termination.

• Complete enhanced due diligence of proposed and existing customers and account reviews including Know Your Customer, (KYC), reviews, and identify, mitigate and escalate risks.

• Analyze customer transactions, write and file Suspicious Activity Reports, (SARS), and liaison with law enforcement on escalated investigations.

JPMORGAN CHASE BANK, (9/2002 – 4/2009)

CASH MANAGEMENT CONSULTANT – Treasury Services, Brooklyn, NY – (1/2007-4/2009)

• Drove sales of cash management products and investment products.

• Investigated and filed Know Your Customer reports, (KYC), Suspicious Activity Reports, (SARS), and Currency Transactions Reports, (CTR's) for adherence to Anti-Money Laundering, (AML), and U.S. Patriot Act regulations.

COMPLIANCE OFFICER - Private Bank, Jersey City, NJ (10/2005 – 12/2006)

• Managed daily review of Private Bank equity, equity options, fixed income, and mutual funds trading exception reports including IPO commission, Front Running, late trading, and market timing.

• SEC 1933 and 1934 acts, rules 144 and 144A, 1940 Act, and Regulation M regarding offerings.

• Tested and refined Private Bank investment advisor compliance exceptions reports for equity, equity options, fixed income, and mutual funds.

• Responded to regulatory inquiries from the SEC, NYSE, NASD/FINRA, and AMEX including providing all relevant company research reports and trade compliance reports. LOAN OFFICER - Home Finance Sales Division, Melville, NY (9/2002 - 10/2005)

• Solicited mortgages, home equity lines of credit, and home equity loans from realtors, and builders.

• Investigated and filed Know Your Customer reports, (KYC), and Suspicious Activity Reports, (SARS), for compliance with the U.S. Patriot Act.

AMERICAN STOCK EXCHANGE, New York, NY (9/1999 - 8/2002) CORPORATE RELATIONS MANAGER, EQUITIES - Stock Watch/Member Firm Regulation

• Managed relationships with AMEX listed companies’ Corporate Officers and AMEX equity, options, debt and Mutual Fund Specialists regarding news disclosures and trading activity.

• Trained staff on SEC rules 144, and 144A, Securities Acts of 1933 and 1934, Regulation M, and front running and manipulation trading reports reviews.

• Insured listed companies complied with AMEX and NASD/FINRA listing qualifications standards.

• Thorough understanding of SEC, NYSE, AMEX and NASD/FINRA trading rules and regulations. CITIGROUP INC. - SALOMON SMITH BARNEY, New York, NY (5/1998 - 9/1999) COMPLIANCE MANAGER - Trade Surveillance - Investment Bank/Control Group

• Thorough understanding of Investment Banking Control Group compliance policies and procedures for proprietary, institutional, retail, and employee trading covering all asset classes.

• Managed daily trade surveillance of proprietary, institutional, retail, and employee trading in “Watch List” and “Restricted List” securities for possible insider trading and other violations of firm policies.

• Contacted Capital Markets Traders and Salespeople, Retail Branch Managers, Portfolio Managers, and Financial Consultants regarding suspicious trading after corporate news announcements.

• Tested, integrated, and refined Salomon and Smith Barney global trade capture systems platforms.

• Managed and trained three junior analysts.

EDUCATION:

Dowling College, Oakdale, NY (3/95 - 8/97)

Master of Business Administration, Banking and Finance (GPA - 3.8) University of Bridgeport, Bridgeport, CT (9/78 - 5/82) Bachelor of Science Degree, Business Management and Industrial Relations TECHNICAL SKILLS:

Microsoft Word, Excel, Access, PowerPoint, World-Check, Bloomberg, and Actimize. AWARDS AND RECOGNITION:

Certified Anti-Money Laundering Specialist, (CAMS) Two-time American Stock Exchange President’s Award winner for outstanding job performance. Graduated first in class from the MBA Banking and Finance program at Dowling College.

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