PROFESSIONAL PROFILE

Seasoned compliance officer with a comprehensive background leading all aspects of compliance and auditing. As an Internal Auditor, Quality Assurance, and Compliance Officer, I’ve worked on some of the largest and most ground-breaking money laundering cases in US history. My experience ranges from large to small, foreign and domestic-owned, retail, commercial, and investment banks, with impeccable performance managing strenuous environments over the course of my career. My flexibility is highlighted in my ability to adapt to the changing environments of Risk Management, Compliance and Internal Controls, and inter-departmental team structures.

PROFESSIONAL EXPERIENCE

UBS – WEEHAWKEN, NJ October 2018 – Present

Global Director of Financial Crimes Prevention Internal Audit Department

Professional Summary:

Assist in the development of the US AML Audit Program and the Global Risk Assessment Audit Program, as well as the 2019 US BSA/AML & Sanctions Audit Plan. Independently developed the MRA Issue Validation process. In charge of the Global AML Risk Assessment Audit, the US AML Risk Assessment Audit, the AML Wrapper Audit, AML Asset Management Audit, and the US AML Governance & Training Audit. Manage the continuous monitoring for three Auditable Entities and the hiring process for the US Financial Crimes Prevention Audit Team. Perform validations for regulatory and high-risk issues.

CIT LIVINGSTON, NJ April 2013 – October 2018

Vice President – Internal Audit, Regulatory Compliance

Professional Summary:

Provided subject matter expertise to Risk Management Team for Vendor Management Audit. Implemented enterprise-wide BSA/AML and Sanctions Audit and remediated Internal Audit BSA/AML Audit Matters Requiring Attention (MRA) issues. Managed and validated outstanding Regulatory Compliance MRAs. Managed the following Audits: BSA/AML & Sanctions Enterprise-Wide Audit; Privacy Enterprise-Wide Audit; Regulatory Compliance Enterprise-Wide Audit; Sarbanes - Oxley (SOX) Controls Audit for the Allowance for Loan & Leases Loses (ALLL); Corporate Credit Risk Reporting (CCRR) and Risk Origin (RO); Validation of Loan Receivables System for the newly acquired One West Bank; Client on-boarding; Anti-Corruption Enterprise-Wide Audit; Trade Finance Lockbox & Letters of Credit Audit; Community Reinvestment Act Audit; Continuous Monitoring of Regulatory Compliance, BSA/AML and Sanctions.

Leadership Highlights:

Successfully led team of three direct reports and an audit team of 25+ members.

Provided guidance and professional input to the Compliance Department and Senior Internal Audit management.

Nominated by Senior Management to attend the Harvard Business Breakthrough Leadership program and successfully graduated from the 1-year program.

Key Accomplishments:

Created MRA & Matters Requiring Immediate Attention (MRIA) Issue Verification and Validation Closure Form to document the sustainability review.

Led critical initiatives for continuous monitoring process for Compliance Audit Team and established a track record of performing quality audits resulting in high QA ratings.

PROFESSIONAL EXPERIENCE (continued)

HSBC NEW YORK, NY April 2012 – April 2013

Audit Manager – AML & Sanctions Country Auditor – Internal Audit Department

Professional Summary:

Co-managed the Suspicious Activity Report and Monitoring Audit. Assisted in the validation for the Quality Assurance OFAC Look-Back Project. Key team member of the Cash Transaction Reporting (CTR) Audit and OFAC Audit. Assisted in the planning for the Know Your Customer and the 2013 AML / Sanctions Audit Plan.

Key Accomplishments:

As a result of my contributions, was recognized by Chief Internal Auditor and received employee recognition award for finalizing the audit in a timely manner and providing effective feedback to the client (compliance) on how to enhance the management reporting process.

Identified key issues which were remediated and resolved quickly prior to the regulatory examination.

BARCLAYS CAPITAL NEW YORK, NY Oct. 2010 – March 2012

Audit Manager – Global Sanction / Internal Audit Department

Professional Summary:

Performed global sanctions audits throughout the Barclays Group to ensure compliance with US, UN European Union sanctions, the US Cease and Desist Order, and Deferred Prosecution Agreement (DPA). Monitored audit hours to remain within budgeted hours for the Global Sanction Audit Team and reported to Managing Director. Participated in a global BSA/AML Audit and provided guidance to team members on US BSA/AML requirements and assisted on enhancing US AML Audit Program.

Key Accomplishments:

Provided training to the Global Audit Department on Sanctions / OFAC Requirements which resulted in the Global Compliance team obtaining a better understanding of the importance of the firm’s sanctions screening process and the potential regulatory ramifications.

Assisted in the creation and implementation of a Sanctions Audit program.

Delivered a BSA/AML & Sanctions presentation to the global Audit team.

BANCO ESTADO DE CHILE NEW YORK, NY May 2007 – June 2010

Vice President – Internal Auditor/ Internal Audit Depart

Professional Summary:

Created and implemented audit programs. Identified key compliance issues and acted as a liaison between US regulators and the Head office. Trained Audit Department in Chile on BSA/AML & Sanctions.

ISRAEL DISCOUNT BANK (IDB) NEW YORK, NY Sep. 2000 – April 2007

Compliance Officer, Quality Assurance Officer (Compliance Testing) & Internal Auditor

/ Compliance & Internal Audit Departments

Professional Summary:

Hired as an Internal Auditor who advanced into Compliance as a Quality Assurance Officer (Compliance Testing) and promoted to the Domestic Compliance Officer for US Branches. Created Quality Assurance Program for BSA/AML & Sanctions and led KYC Lookback team with over 23 consultants / investigators.

BANK OF NEW YORK NEW YORK, NY Oct. 1998 – August 2000

Internal Auditor / Internal Audit Department

Professional Summary:

Assisted in the Lucy Edwards Russian Money Laundering Scandal Audit / Special Investigation and Lessons Learned Project.

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