Justin Haws
*** ***** ***** **** ******** *****
302-***-**** ******.*.****@*****.***
OBJECTIVE
A Compliance Manager role where I can use my 15 years of Compliance experience combined with my interpersonal and analytical skills to develop and implement strategies that solve business problems, maximize efficiencies, provide regulatory oversight and manage Compliance controls to add tremendous value and expertise. EXECUTIVE SUMMARY
More than 19 years of experience in Compliance, AML Transaction Monitoring, Controls, Operations and Credit Operations in fast-paced banking and financial services environments
Association of Certified Anti-Money Laundering Specialist (ACAMS) member with robust knowledge of Regulatory Compliance requirements
Strong analytical skills and the capability to use compliance control background to digest and understand complex concepts and processes especially regarding BSA/AML legislation
Highly driven with the ability to deliver on time all while maintaining quality standards
Proven track record of solving multifaceted problems through, leadership, and strategic partnerships
Outstanding communication, presentation, and relationship skills
Strong reputation among coworkers and management with demonstrated expertise across compliance functions
Highly motivated leader skilled in providing oversight and meeting corporate goals and compliance mandates EXPERIENCE
JP Morgan Chase, Newark, DE (2011-present).
Consumer and Community Banking, Asset & Wealth Management Vice President Control Officer (2017-present)
Responsible for Control oversight, Control and Operational Risk Evaluation (CORE) outcomes, Issue Management, management of regulatory inquiries and performed Risk Assessments of processes, policies and procedures
Manage the issue lifecycle and action plans for Asset & Wealth Management Risk Assessments
Lead preparation, management, and oversight for regulatory inquiries in a timely manner Global Financial Crimes Compliance (GFCC)
Vice President Compliance Manager (2013-2017)
Responsible for Anti-Corruption and Global Financial Crimes Compliance Testing and ensuring sustainability of Regulatory requirements within all lines of business at JP Morgan Chase
Vice President of Core Compliance testing specializing in Anti-Corruption and Sanctions reviews
Managed Compliance tests over multiple regions globally for JP Morgan Asset & Wealth Management
Responsible for the "Four Pillars" of an effective Compliance Program: development and sustainability of policies, procedures and effective Controls, Compliance adherence to all regulatory requirements, oversight of required training, Independent testing of policy and procedure requirements Global Compliance Operations (GCO)
Vice President Compliance Manager (2012-2013)
Managed the first Anti-Money Laundering (AML) Alert Transaction Monitoring Team for Consumer, Commercial and Business Banking transaction alerts
Assisted in the build of new production environment formed due to regulatory guidance; provided high visibility and recognition
AML Alert Team Manager of over 35 employees with continued development and department expansion to over 250 employees and multiple site locations
Developed and coached all staff, responsible for interviewing, hiring and employee retention Global Financial Crimes Compliance (GFCC)
Vice President Compliance Manager (2011-2012)
Subject matter expert in the management of Anti-Money Laundering/Bank Secrecy Act (AML/BSA) regulatory examination process. Liaison between the Office of the Comptroller of the Currency (OCC) and multiple JP Morgan Chase sub-line of businesses during OCC Exams
Handled First Day letter requests, managed all OCC exam tracking files with detailed accuracy
Coordinated OCC exams with the most senior members of JP Morgan Chase
Met all required Service Level Agreements
Justin Haws
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Sallie Mae Bank, NA, Newark, DE (2009-2011).
Corporate Compliance Sales & Marketing
Sr. Compliance Officer (2009-2011)
Compliance oversight for Student Loans, Credit Card and Retail Deposit Marketing products. Provided sound controls while meeting all federal and regulatory guidelines as required by the Consumer Financial Protection Bureau (CFPB) and the Federal Deposit Insurance Company (FDIC).
Expert in Fair Lending, UDAP, BSA, US Patriot Act and all regulatory requirements and Legal disclosures
Created and owned the Retail Deposit product Compliance Marketing disclosure resource tool
Owner of Marketing & Sales month-end reporting to the Corporate Compliance Committee
Developed and managed employees across multiple locations JP Morgan Chase, Newark, DE (2003-2009).
Acquisition Operations
Marketing Campaign Manager (2007-2009)
Coordinated Marketing campaigns for the Acquisition Operations Internet team. Worked directly with Marketing Services, Execution Operations, Corporate Internet Group, Content and Graphic Services, and Marketing Operations to create online Marketing pages on Chase.com
Ensured all items in the marketing campaign were built, audited and approved in a timely fashion for availability in consumer marketplace
100% quality and accuracy, worked with Tier 1 Travel and Entertainment partners Portfolio Risk Review Lending Operations
Portfolio Risk Review Analyst and Team Leader (2003-2007) Prevented unsecured losses to the Bank by reviewing account and reporting information to determine credit worthiness. Provided coaching, decision support, quality reviews, new hire training, and policy and procedure development
Motivated and managed multiple teams in a production type environment
Assisted with supervisor escalations in an inbound call environment
Researched issues, built solutions, increased efficiency, calibrated and monitored lending consistency, communicated current state, and implemented ongoing improvements with Senior Management
Designed and facilitated training for existing staff regarding the High Risk Reconsideration processes
Assisted with global service efforts to maximize penetration of new market opportunities in off shoring activities including traveling to Mumbai to train employees Card Services Lending Operations
Customer Service Representative (2001-2003)
Handled inbound Customer Correspondence related to unsecured credit card activity and requests
Promoted to Customer Card Unit (CCU) to handle "Office of the President" Customer inquiries
Unsecured Lending Authority of up to $50k USD
Improved analyst team effectiveness by reviewing quality trends and training of peers EDUCATION
Bachelor of Arts – Business Administration; minor – Business Operations Support University of Delaware. Newark, Delaware.
TRAINING & CERTIFICATIONS
ACAMS Certified Specialist
(Association of Certified Anti-
Money Laundering Specialist)
Anti-Money Laundering & Bank
Secrecy Act Transactions
Monitoring
Anti-Corruption
SAR/CTR Reporting
FINCEN Reporting
Fair Lending
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