Gabriel Iezzoni

631-***-****/adcl2s@r.postjobfree.com

AML Compliance Specialist/Consultant, ACAMS CERTIFIED

•AML Specialist with over ten years of experience providing regulatory guidance to executives concerning Financial Crimes.

•Document and report case review/investigation findings and prepare case files for review (e.g. media search results, copies of statements/checks, results from internal system searches etc.)

• Conduct research over available Bank systems, the Internet and Databases consistent with the resolution of investigations.

• Collect and examine financial statements/trade data and other documents to assist in identifying unusual transaction patterns

• Follow-up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case.

• Document all research and analysis conducted in the Case Management System

• Create Suspicious Activity Reports (SARs); and recommend relationship retention or termination; and track account closures as required.

• Liaise with other FIU units, ACRM, the Business, CSIS, FIU Legal, GIU, Trade Surveillance, and Law Enforcement, where applicable.

•Experience, with FileZiller, FTP sites, Excel, Tracking Logs, Tinzip, Lexis Nexis, World check and Analysis reports.

•Check activity regarding funds going in and out of client accounts, investigated suspicious trading, excessive losses and third- party activities such as stock deposits and transfers.

RMB Legal / Inter-source Everest Consulting, LLC, Dix Hills NY Nov 2018 to present.

Consulting projects concerning AML Audits Complaints, Arbitrations, New Account Documents, Procedures, Training Reporting, Mock Audits and Investigations.

RICHARD JAMES AND ASSOCIATES, NY, NY FEB. 2016 - OCT. 2018

CHIEF COMPLIANCE DIRECTOR / AML REPRESENTATIVE

•Hands on compliance and operations, review content for firm risk and exposure.

•Revised compliance manuals, liaison to FINRA and the SEC regarding inquires, audits and investigations and test of current policies and systems.

•Supervised a staff of twelve including supervisors and brokers. Conduct risk management by overseeing client performance and selected securities for investment, etc.

LEGEND SECURITIES, INC., Melville, NY. Mar. 2015 – Aug. 2015

AML Compliance Consultant

•Scrutinize, revise, and made recommendations regarding compliance structure. Ensure regulatory guidelines are met in relation to heightened supervision, emails, new accounts, activity letters, trading, commission, surveillance, system test and a variety of other components required to meet legal parameters.

•Assisted the AML Representative with KYC day to day activities.

BROOKVILLE CAPITAL PARTNERS, Uniondale, NY 2010 – 2015

Chief Compliance Director AML Representative

•Spearheaded compliance pertaining to retail and institutional transactional broker-dealer., tested system and procedures. Implemented new CE to encompass AML as well as company-wide compliance. Worked on Prime Brokerage plus ADR’s.

•Enhanced, replaced, or created procedures to comply with regulatory guidelines and strengthen longevity. Revised manuals and policies concerning AML, BCP, and WSP.

•Review marketing and advertising material for new products to confirm they do not expose the firm to litigation and are within boundaries of legal guidelines regarding truth in advertising laws.

•Procedural Compliance: Reworked AML, BCP, and WSP manuals to align with respective policies, laws, and procedures according to regulatory guidelines and key stakeholder requirements. Established updated procedures for Prime Brokerage.

•System Initiations: Launched new systems to monitor transactions for retail, institutional, and options, along with material changes for the US and foreign accounts, including UK.

•Audits: Executed multiple branch audits, ethics, and employee accounts through interviews and detailed analysis of paperwork to ensure financial integrity and adherence to strict legal directives.

JOHN THOMAS FINANCIAL, New York, NY 2009 – 2010

Assistant Compliance Director

•Guided analysis regarding compliance of supervisory structure entailing review of AML function, complaints, investment banking, research, and Chinese Wall.

•Closely examined sales within institutional and retail sectors, in addition to media contacts, policies, procedures, OFAC, FINCEN, Section 311, PEP’s, and money flows, among others. Conducted branch audits, assessed ethics, and reviewed employee accounts.

VECTORGLOBAL WMG, INC., New York, NY Miami, FL 2007 – 2009

Chief Compliance Director AML Representative

•Conceptualized and instituted replacement procedures for AML, BCP, WSP, RIA, and the supervisory structure. Observed daily compliance of institutional and retail accounts within the US and Mexico.

•Performed daily AML reviews concerning KYC for on boarding clients.

•Responsible for daily AML review, OFAC, Third party wires, suspicious activity, Peps, bad actors, Prime Brokerage, etc.

•AML Expertise: Point-person for all aspects of daily KYC and compliance activities, including enhancements to existing KYC procedures.

EHRENKRANTZ KING NUSSBAUM, Garden City, NY 2005 – 2007

Chief Compliance Director

•Formulated new CE to cover general as well as AML compliance.

•Developed guidelines for investment banking comprising of compliance for IPO and private placements.

•Inspected conformity of institutional and retail accounts in the US and UK to confirm WSP adherence of all business units.

•Examined and approved research, media contact, regulatory inquiries, complaints, blotters, and exception reports.

•Trained personnel conducted branch audits, ethics, and employee reviews.

•Critical Procedures: Engineered comprehensive procedures for Patriot Act, WSP and BCP,. supervisory steps to protect data and financial integrity.

BREAN MURRAY & COMPANY, INC., New York, NY 2003 – 2005

Chief Compliance Director V.P. AML Representative

•Ensured firm functioned in accordance with regulations governing investment banking, research, institutional and retail sales, market development, proprietary trading, ex clearing trades, the Investment Advisors Act, KYC, trading surveillance, options, control room, and NYSE floor activity guidelines.

•Reviewed firm training to detect noncompliance with front running and unauthorized trading.

•Managed analysis of branch audits, ethics, 144 stock, Registered Securities, Unregistered Securities, Prime Brokerage and employee accounts.

Education

•BBA Degree, Finance, Pace University, NY, NY

•FINRA Series 4 Series 7 Series 24 Series 63 Series 87 ACAMS Certified.

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