Kevin M. Mayaka

Harrison, NJ *****

adyy6s@r.postjobfree.com

551-***-****

Lineage Logistics Newark, NJ Logistics Coordinator / Freight Broker 02/2021 - Present

●Work with the Director of Operations to effectively and efficiently move resources that support all programmatic work.

●Direct inbound and outbound shipping operations, including all transportation and warehouse activities.

●Create monthly delivery schedules and reconcile inventory against delivery and warehouse reports on a weekly basis.

●Aid with physical inventory reconciliation at all warehouse locations in partnership with the Director of Operations.

●Aid with financial reporting as it relates to the operations department.

●Play a key role in managing the Salesforce database for delivery tracking in conjunction with the programs team.

●Contribute to the continuous improvement of the agency’s operations.

Citigroup New York, NY

Regulatory Compliance Officer 02/2016 - 09/2020

●Liaison between Citigroup and financial market regulators [SEC, FINRA, OCC, NFA, CFTC, and FRB] finding procedural weakness and implementing corrective actions during regulatory examinations.

●Coordinated regulatory examinations/ audits ensuring broker/swap dealer entities addressed regulatory requirements.

●Identified corrective actions required by process deviations, procedure deviations, complaints, regulatory audits, customer, and internal audits on behalf of broker/swap dealers and concisely updated and supported Internal Control documentation.

●Helped applicable stakeholders in producing deliverables for regulatory examination and auditing.

●Assessed and evaluated current policies, procedures, and documentation for compliance with government laws/ regulations.

●Conducted activities testing efficacy of remediation plans addressing regulatory findings or matters requiring attention.

●Reviewed management testing of internal controls, ensuring compliance with SOX test plans and documentation requirements.

●Monitored initiatives affecting risk profiles and communicated changes, emerging risks, and new risk typologies to risk committee.

●Supplied advice/guidance on best-in-class presentations, materials, and other submissions prior to submission to regulators.

●Aided with preparation of the annual swap dealer report and any other required periodic reports or MIS as per requirements.

●Created reports on QlikView /Tableau in addition creating a database to store, monitor, track regulations, while executing compliance testing to find and proactively rectify adverse impacts on the broker / swap dealer entities.

Bank of America Florham Park, NJ

Compliance Analyst (Contract) 05/2015 - 01/2016

●Instituted thorough due diligence procedures on Know Your Customer (KYC)/AML Program across the enterprise, promoted consistency across business lines and regions in the day-to-day enhancement implementation of the KYC Program.

●Performed enhanced due diligence investigations collecting and examining financial statements deterring money laundering.

●Prepared weekly Suspicious Activity Reports (SARs) and recommended relationship retention or termination.

Business Credentialing Services Morristown, NJ

Compliance Auditor (Internship) 01/2015 - 04/2015

●Performed risk assessments for respective vendors and ensured compliance with vendor service contracts.

●Audited certificates of Insurances ensuring compliance with Firm policies

●Presided over audit meetings and performed prompt audits according to the Compliance program.

●Managed Compliance operating procedures including reviewing and implementing operational procedures.

Education:

Rutgers University Business School

B. S Finance & Accounting (2015) M.S Quantitative Finance (2025) Rutgers NCAA Men’s Soccer Team 2011-2014

Professional Skills

●Strong quantitative, Risk Assessment, Regulatory Reporting, Compliance testing, analytical / critical thinking skills, organization abilities, familiarity with global derivatives regulations and Title VII as it pertains to security swap dealers.

●Relevant experience in Regulatory exams/Audits/Anti Financial Crime, knowledge of Securities Act of 1933, Dodd - Frank Act, Investment Act of 1940, and other relevant US Banking laws

●Experience with Anti-Money Laundering Compliance, KYC Operations, risk/control functions, and managing corrective plans.

●SAP Business One, WMS, CRM, NetSuite, MATLAB, Microsoft Suite, Power BI, SQL, VBA, Relational Databases

●Legal and business writing, Legal research and LexisNexis, policy analysis and management, FINRA GATEWAY.

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