Risk Management Aml Compliance

WOSENYELESH TURA (WOSE)

** *********** ****** #** *** YORK, NY 10027 917-***-**** *********@*****.*** EXPERIENCE

Citigroup – New York, NY

Director – Global Head of Financial Crimes Compliance Advisory for Markets products January 2020 – present

Responsible for management of the AML Compliance Risk Management team for Citi’s Markets business (includes Equities, FX, and the Prime Finance desk) globally for consistent product coverage and oversight.

Advancing global program goals by serving as a Markets subject matter expert (SME) available to provide guidance to other lines of business and driving select global initiatives.

Execute and implement firm-wide AML risk management policy and strategic processes.

Maintain AML compliance program for the Markets business including assessment of risks and development of policies, procedures, and governance.

Collaborate with and provide credible challenge to the business, In-Business risk, Operations, and other strategic partners for the implementation of additional product controls and structuring potential solutions for the Markets businesses.

Provide compliance advice to the business with respect to applicability of policies, resolution of potential red flags or other client/transaction- related compliance escalations.

Participate in various business and compliance governance and oversight forums as required.

Advise on new business initiatives and evaluate risks associated with new products.

Coordinate relevant internal assurance processes including analyzing data related to global AML risk assessments.

Liaise with banking and securities regulators during exams and other inquiries. JPMorgan Chase & Co. – New York, NY

Executive Director – Global Financial Crimes Compliance January 2016 – December 2019

Global Head of Know Your Customer (KYC) Policy and Advisory

Responsible for creating and launching a Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) Consent Order solution focused on improving the firmwide understanding of holistic customer relationships across business lines and legal jurisdictions.

Establish global policies governing KYC risk for both the Holistic View and Reliance Agreement data sharing processes.

Construct an end-to-end centralized KYC Training program and framework, formally documenting KYC specific training needs across the firm.

Consistent evaluation of Key Risk Indicators through the unification of the global Risk Tolerance program with the BSA/AML Risk Assessment process.

Oversee cross Line of Business global policy interpretation and implementation ensuring strategic efficiency and best practices.

Legal liaison on Privacy and client consent issues surrounding various KYC workstreams.

Represent both the Lines of Business and Global KYC Compliance with Federal regulators. Citigroup – Long Island City, NY

Director – Global Corporate Compliance October 2012 – December 2015

Led a team in the design, execution and reporting of the enterprise-wide Compliance Annual Risk Assessment, Anti Bribery & Corruption Risk Assessment, and the Sanctions/Office of Foreign Assets Control (OFAC) Risk Assessment that identified and evaluated the inherent risk, quality and effectiveness of controls and aggregate risk for the institution.

Engaged with Chief Compliance Officer and Global Senior Compliance Leads to discuss the business environment with a focus on the impact of banking and regulatory risks associated with the institution’s diverse global offerings.

Provided credible challenge to the analysis of data and the development of key metrics quantifying relevant risks across various global products and business lines.

Coordinated global and Board report construction based on the results of the risk assessments highlighting key themes, findings and identified issues with recommendations for improvements towards effective risk management.

Acted as subject matter expert with Global Compliance, Global Anti Bribery & Corruption, Global Sanctions, and corresponding business partners throughout the risk assessment process.

Participated in regulatory exams involving but not limited to the Federal Reserve Bank, U.S. Securities and Exchange Commission, and the Office of the Comptroller of the Currency.

Managed the development and implementation of the Anti-Money Laundering New Product Approval (NPA) process lifecycle, governance and operation of the NPA AML risk assessment system through 2013. Bank of Ireland – Stamford, CT

Deputy Chief Compliance Officer and Associate General Counsel January 2011 – October 2012

Designed enterprise-wide compliance program for audit by the Federal Reserve Bank requiring risk assessment, written procedures, training, and quality assurance testing.

Confirmed US Branch compliance with all domestic regulatory requirements and industry best practices including Branch regulation, Dodd- Frank Act, BSA/AML/OFAC compliance, and Financial Holding Company status.

Represented US Branch at New Products Approval Committee. Provided guidance on legal and compliance issues and performed post implementation review.

Negotiated and revised various documents, including but not limited to, Loan Portfolio Sale Agreements, Control Account Agreements, Terms

& Conditions, marketing materials and related disclaimers.

Conducted on-site appraisal of UK subsidiary compliance due diligence program.

Principal contact for examinations, private actions and regulatory inquiries. SMBC Capital Markets, Inc. and SMBC Securities Inc. – New York, NY Deputy Chief Compliance Officer and Assistant Vice President – Legal and Compliance Department February 2007 – December 2010

Directed and evaluated team of two Compliance Officers, three interns and five external consultants.

Trained compliance department, consultants and global front office staff on AML requirements for various jurisdictions.

Constructed detailed AML and OFAC Risk Assessments for SMBC Capital Markets Inc. and SMBC Securities Inc.

Implemented a risk-based compliance rating system quantifying new customers for the New York, Hong Kong and London offices.

Developed compliance policies & procedures, insider trading information barriers and BSA/AML programs in accordance with local regulations. BearingPoint, Inc. (formerly KPMG Consulting) – New York, NY Management Consultant – Financial Services Division January 2006 – January 2007

Established policies and procedures to support compliance with regulatory requirements under the Investment Advisers Act of 1940.

Formulated a regulatory landscape creating a platform for new policies relating to the Securities Act of 1934 for a leading investment bank.

Managed a comprehensive review of private wealth management clients for AML compliance at a top 10 global private bank. American International Group (AIG) – New York, NY

Analyst January 2003 – January 2006

Defended financial institution cases involving broker dealers, banks and investment managers in state and federal court and arbitration forums.

Assisted in drafting answers dealing with fraud and the Securities Act of 1933 as amended by the Sarbanes-Oxley Act of 2002. Merrill Lynch, Pierce, Fenner & Smith, Office of General Counsel – New York, NY Contract Associate November 2001 – November 2002

Argued Securities Arbitrations before the NASD. Drafted responses to consumer complaints. Skadden, Arps, Slate, Meagher, & Flom LLP – New York, NY Contract Associate November 2000 – May 2001

Coordinated client compliance with Hart-Scott-Rodino pre-merger notifications and responded to regulatory requests. EDUCATION

Brooklyn Law School - Brooklyn, NY

Juris Doctor, June 2000

Awards: CALI Excellence for the Future Award in Antitrust and Regulated Industries Publications: International Antitrust Submission to the International Competition Advisory Committee (ICEPAK) The Extraterritorial Application of Competition Laws in Germany and the United States: May 1999 New York University - New York, NY

Bachelor of Arts in Law and Philosophy, cum laude, May 1997 Honors: New York University Honors Scholar 1994-1997 Spanish American Institute, Seville, Spain, Spring 1996 PROFESSIONAL AFFILIATIONS

Admitted to New York State Bar; Member of Securities Industry and Financial Markets Association (SIFMA); Member of American Bar Association

LICENSES

Series 7 and 79

LANGUAGES

Conversant in Spanish; Amharic (Ethiopian)

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