Compliance Officer Risk Management

Howard C. Sawransky

** ********* ** • Mountain Lakes, New Jersey 07046 • 201-***-**** • **********@*****.*** Objective

Seasoned Compliance Officer seeking to leverage my expertise in regulatory compliance, risk management, and policy development to contribute to the success of a forward-thinking financial organization. Experienced at implementing robust compliance programs, conducting risk assessments, navigating regulatory examinations and ensuring adherence to industry standards. Professional Experience

Mitsubishi Union Trust Bank / MUFG Bank

FVP and Business Lines’ Compliance Officer

2018 – Present

● Maintain the Compliance Risk Management Framework for the Bank.

● Advise business units on applicable laws, rules, and regulations.

● Meet with OCC during examinations and respond to RFIs.

● Conduct annual risk assessments and draft executive summary.

● Review and challenge business units’ self-evaluations.

● Monitor electronic communications for violations of the Bank’s Code of Conduct. JP Morgan Chase

VP of Corporate & Investment Banking (“CIB”)

2015 – 2018

● Aligned CIB’s KYC requirements with Global Compliance and the Bank’s KYC systems.

● Conducted mock examinations on KYC files and created remediation plans for systemic issues.

● Designed KYC system workarounds to capture clients’ AML risks effectively.

● Delivered live training on policies and procedures to global stakeholders. HSBC

Sr. Mgr. & VP of Commercial Banking Group

2013 – 2015

● Conducted risk assessments on the business unit.

● Remediated gaps for various regulations including B, CERCLA, and CRA.

● Implemented compliance programs for Volcker and Conduct Rules.

● Served as a liaison to internal audit, testing, and regulators.

● Provided training on HSBC’s policies.

Bank of Tokyo-Mitsubishi UFJ, Ltd.

VP and Business Lines’ Compliance Officer

2007 – 2013

● Advised Credit Portfolio Management and Structured Finance groups.

● Maintained informational barriers between public and private businesses.

● Managed onboarding and periodic reassessment of KYC files. Philip Lehman Co., Ltd.

VP for Insurance Consultant for the CMBS Industry

2002 - 2007

RBC Alternative Asset Management, Inc.

VP for SEC Registered Investment Advisor

2000 - 2002

Credit Agricole Indosuez

AVP for Qualified Institutional Buyer Broker-Dealer 1998 - 2000

Merrill Lynch & Company, Inc.

AVP for International Broker-Dealer

1994 - 1998

Rogers & Wells, LP

Legal Consultant for International Law Firm

1990 - 1994

Education

University of Miami School of Law

Juris Doctorate, August 1987 - May 1990

Stony Brook University

Bachelor of Arts, History, August 1983 - May 1987

Licenses & Certifications

● New York State Bar

● Series Securities Industry Essentials (SIE), 24, and 79

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