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Manager Executive

New York City, NY
March 20, 2020

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Financial services risk management executive with over 10 yrs specializing in financial crimes. Experience in creating methodology, implementing and evaluating risk assessments and risk management programs in fraud, anti-bribery/corruption, BSA/AML, FCPA, CTF, OFAC/sanctions, compliance, ethics business continuity. Strong governance and project management skills. Additional: fintech, correspondent banking/de-risking, Wolfsberg Principles, IAT, SWIFT messaging.

MANAGEMENT CONSULTING (Financial Crime) EXPERIENCE Freelance Independent Consultant

Angolan Banking Association (ABANC), Luanda, Angola Workshop 9/19-11/19

Correspondent Banking Subject Matter Expert

Led “Strengthening Correspondent Banking Relationships” workshop. Produced all content and materials. Topics included USA PATRIOT Act, FATF, BSA,Wolfsberg Group principles, de-risking, FFIEC exams, risk assessment process, scenario analysis, SWIFT, payable thru accounts/payment processing, ACH payments, wire transfers, developing federal policy.

Ernst and Young, New York, NY 6/19 – 9/19

Sumitomo Mitsui

SME/Strategic Advisor, Senior Manager FSO Financial Crime Division, Risk Management Program (contract) Developed and executed the first Fraud Risk Assessment (FRA) methodology and assessment as part of the formation of an enterprise wide risk management program for client. Wrote report, delivered analysis and presentation of FRA results.

Deutsche Bank, New York, NY 9/18 - 6/19

Senior Advisor, AFC-ABC Risk Management Program

Executed enterprise wide anti-fraud risk assessment with ABC. Advised on design, strategy and methodology. Analyzed findings, prepared and wrote executive report. Managed and led challenge workshops. Collaborated with regional heads, BLAFC, DCO and audit. Advised on internal control development and mapping. Authored and documented program procedures. Governed project management. Provided guidance for Global Head Anti-Financial Crime in London.

Santander USA/Deloitte RGP Dallas, TX/Boston, MA 10/16-7/18

Director BSA/AML/CTF/OFAC Program (Interim)

Led enterprise wide BSA/AML/CTF/OFAC program. Supervised team of 20 analysts and 4 managers. Managed and executed annual BSA/AML/CTF/OFAC risk assessment. Oversaw fraud, OFAC and AML investigations. Developed controls for alert processing, corrective action and project plans for remediation. Provided monthly reporting on TMR, alerts and SARs to Board, holding and parent company. Created and managed annual compliance risk plan as Project Manager across all businesses.

BNP Paribas/Bank of the West, San Ramon, CA 3/16-9/16

Global Regulatory SME Advisory

Analyzed policy gaps between parent company BNPP (France) and BOW. Identified gaps and created gap assessments. Developed language for alignment. Wrote program policies and procedures to standardize entities documentation with international regulations focused on OFAC, sanctions, BSA, AML, KYC and CSR. Analyzed and edited program risk assessment methodology.

Thrive Networks, Oakland, CA/Vietnam/Myanmar 6/14-7/15

Director of Enterprise Development Risk Management

Increased impact and efficiencies in the non-profit landscape through risk management strategies. Created and implemented new policies and procedures to adhere to US/intl regulations. Applied innovative methods to customize development impact/social impact bonds, pay for performance and public private partnerships models. Developed impact measurement and monitoring system. Evaluated best practice methods for impact measurement in non-profits.

JPMorgan Chase, New York, NY 2/14- 7/14

Global Compliance Manager

Managed projects from initiation to completion ahead of deadlines. Planned, identified scope, conducted interviews in US/UK, documented compliance tests including KYC/AML, reported across business lines in Corporate Investment Bank while fostering relationships and adapting to changing regulatory landscape. Analyzed metrics, synthesized and developed recommendations. Implemented financial crime risk mitigation tools. Provided high-level investigation reports. Business continuity planning mgmnt.

Global Derivative Compliance and Risk Manager 2011 - 2012

Managed testing for NY/US Global Derivative Services. Strategic member of Risk Management Policy & Quality Assurance team. Responsible for ensuring GDS processes, procedures and technology met derivative operations compliance requirements in accordance with firm and regulatory guidelines. Reviewed, updated policies, procedures and controls for functional groups and KYC, AML Dodd Frank/Volcker Rule. Provided QA monthly testing results to senior management. Rated level of risk with proprietary methodology. For failures/exceptions identified, collaborated with management on action plans and progress status.

E. Kelly McCann

Business Continuity Planning Committee Member. Business continuity planning and risk management for natural disasters, terrorist attacks and pandemics. Organized practice drills.

B & M Consulting, New York, NY 2009 –2011

Economic and Political Risk Consultant

Provided research, due diligence and analysis on sovereign economic, political and security risks and opportunities. Conducted risk analyses on doing business in emerging African countries. Utilized proprietary risk rating methodologies to categorize and measure relevant risks. Clients included investors, energy companies and entrepreneurs.

Prudential Financial, Newark, New Jersey 2007 –2008

Director, Foreign Corrupt Practices Act, Anti-Fraud, Anti-Bribery, Corporate Compliance

Developed, implemented and managed project plan for enterprise-wide Foreign Corrupt Practices Act (FCPA) program. Developed corporate FCPA policies, SOPs and action plans. Analyzed and monitored compliance metrics for reporting risk assessments and gap analyses with certification process. Advised business heads, senior level executives. Conducted FCPA compliance training for business groups. Analyzed global regulations and compliance trends. Created monthly report “FCPA In the News” for senior level executives. Created, managed and maintained FCPA in-house database with technology team.

Citigroup, New York, NY 2005 – 2007

Vice President, Compliance/Legal, Global Regulatory Risk

Analyzed regulations and laws in 70 countries to map to Citigroup’s internal compliance policies and procedures. Developed firm-wide manual for conducting business overseas, used by financial advisors in 70 countries. Ensured financial advisors adherence to SEC regulations including privacy laws and suitability issues. Created training presentations for financial advisors and conducted compliance regulatory training. Managed technology team to develop interactive training modules. Analyzed compliance risks and enforcement actions from global regulatory perspective as posed by hedge funds. Designed emerging market risk seminar,” Doing Business in Russia”, with top Ivy League professors and Russian business executives for Citigroup senior management. Assessed global wealth management business opportunities in Russia. Business Continuity Planning Committee Member. Business continuity planning and risk management for natural disasters, terrorist attacks, technology failures. Impact scenario analysis.


World Bank Multilateral Investment Guarantee Agency (MIGA)/Senegalese Government Agence Nationale Chargee de la Promotion des Investissements et Grands Travaux (APIX)

Consultant Dakar, Senegal and New York, NY

Advised Senegalese government on how best to leverage telecommunication infrastructure for francophone call centers in an effort to increase jobs and improve economy. Provided recommendations and wrote report on promotion of foreign investment into IT industry in Senegal. Traveled to Senegal for interviews and presentations. Presented report at development conferences.

United Nations-International Labour Organization, Economic Researcher, Geneva, Switzerland

Conducted study and provided recommendations for transitional economies’ ageing workforce (Eastern Europe and former Soviet Republics) during their economic restructuring.

AIG/NYSE (collaborative project), Consultant, New York, NY

Identified Russian firms that met criteria to list on NYSE. Provided Russian political, economic and business updates to AIG senior executives. Examined prospects for Russian firms Director and Officer insurance of NYSE listed companies.

Alfa Bank, Equity Research, Moscow, Russia

Evaluated data on Russian energy companies. Edited “Fixed Income Daily” and weekly economic reports.


Master of International and Public Affairs, Columbia University, New York, NY

Concentration: Economic and Political Development; Russian Studies

Honors: Awarded Columbia University FLAS Academic Year and Summer Fellowships, PepsiCo Fellowship

Activities: Editor, Journal of International Affairs

Other: Presented Master’s Thesis, “Will Improved Corporate Governance Facilitate Increased Foreign Investment in Russia?” at Gorbachev Conference on Transitioning Economies, Boston, MA

Bachelor of Arts, University of Vermont, Burlington, VT

Political Science Major, Russian Studies and Environmental Studies Minors

Certificate in Advanced Russian language, Moscow State University, Moscow, Russia

Certificate USAID rules, regulations, grants and cooperative agreements, Inside NGO, San Francisco, California

Certificate Fighting Fraud in NGO’s/Humentum COSO Framework

Edx/ Fintech, CyberSecurity, CAMS Certification in progress

Skills/Tools: SharePoint, FircoSoft, MS Office/Project, Database Management, Agile, Access, Tableau, Visio, JIRA, Actimize, SAS AML, Worldcheck, Lexis Nexis, Clearview, ScrumMaster, Agile, Business Continuity planning, Public Speaking

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