Advisory Services Managing Partner

Kenneth A. Goodwin Jr.

**** ********* ****, ***#***, North Bergen New Jersey 07047

201-***-**** **************@*********.*** https://www.linkedin.com/in/akennethgoodwinjr/ PROFESSIONAL EXPERIENCE

06/2015-Present JEANENSIS LLC- Founder and Managing Partner

Lead the risk control design assessment of FR2052a at TrustCo Bank and drafted the annual testing plan solving gaps on regulatory reports Y9C, FFIEC 002, Y15, FFIEC 009/019 and income statement.

Partner with the CEO of Gleebill, an MSB and payments provider, on identifying key stakeholders and developing a governance structure meeting regulations and achieving NY State DFS certification. 04/2014-05/2015 GRANT THORNTON LLP- National Senior Manager-Financial Advisory Services

Developed and oversaw the national advisory service and training of FRB 2052a, Dodd Frank Act, Title VII Swaps and OTC Dealer, Volcker Rule, Supervisory Review Letters and Capital Planning of Basel II and III.

Managed team of 8 senior managers in ensuring fortune five bank's compliance with CCAR-DFAST.

Implemented HSBC's Volcker Rule readiness assessment testing for underwriting, market making, permitted exemptions and covered fund activities within private banking, broker dealer, legal and compliance functions.

Advised on the Recovery and Resolution Planning at a Tier 1 bank using SR Letter 15-18 guidelines. 01/2013-4/2014 HSBC SECURITIES INC- Securities and Banking Compliance Officer-Vice President

Implemented and oversaw horizontal inspection of Dodd Frank Act Title VII and Title IV of HSBC swap dealer identifying and testing controls of swaps and derivatives at broker dealer.

Served as the point of contact for related trading and sales compliance issues; testing the operations of the systems and transactions against the underlying Title VII and Title IV swap requirements.

Oversaw examinations of trading and sales business lines of the US Broker-Dealer and Swap Dealer including: Investment Banking, DCM, Fixed Income, FX, Commodities and OTC Derivatives products. 09/201*-**-**** THE ROYAL BANK OF SCOTLAND- Senior Business Unit Compliance Officer (VP)

Designated point of contact and subject matter expert for internal queries relating to FRB 2052a, US FED, SEC, FINRA and Regulations B, O, P, Y, W and Prudential Standards Regulations.

Managed Regulation W and Securities Exchange Act 15a-6 monitoring trade procedures.

Worked with Investment Banking, Debt Capital Markets, Syndication, Foreign Exchange structure teams in providing regulatory guidance on pricing offerings, terms sheets and deal disclosure language. 04/2010-08/2011 PricewaterhouseCoopers LLC Manager-Financial Advisory Services

Advised BBVA in the development of regulatory compliance inventory mitigating operation and credit risks as part of a firm wide implementation of an information technology application.

Worked with senior compliance and IT executives at Santander's Sovereign Bank in the development of account origination work streams that ensured compliance with Regulations E, CC, and DD. Kenneth A. Goodwin Jr. PAGE TWO

10/2008-04/2010 THE FEDERAL RESERVE BANK OF NEW YORK: Senior Compliance Officer

Implemented with 8 senior staff members the $50 billion Term Asset Backed Securities Lending Facility

(TALF) Compliance Inspection Program for ABS and CMBS backed loans and leveraged financed loans.

Conducted 10 on-site TALF inspections determining soundness of primary dealers’ due diligence, customer identification program, KYC/AML, training procedures and policies.

Worked with 19 primary dealers’ senior management presenting the TALF Assessment Report meeting US Treasury and Federal Reserve leverage lending standards. 08/2000-2008 THE FEDERAL RESERVE BANK OF NEW YORK: Bank Examiner/Risk Manager

As Examiner-In-Charge, led an examination team of 3 risk specialists at a major Japan bank examining trade finance and internal controls ensuring compliance with Regulation K, Y and W requirements.

Reviewed $200 million commercial and industry syndicated loans assessing economic capital adequacy and loan loss reserve policy meeting Shared National Credit Program requirements.

Led team of three staff and identified counterparty risks on a blind synthetic CDO transaction. MIKE MANSFIELD FELLOW/FEDERAL RESERVE- Awarded Professional Fellowship-2004-2006 The Japan Financial Service Agency-International Relations and Policy Departments

Developed supervisory review process and internal capital requirements for Basel Pillar I and II risks that were lectured to Senior Commissioners at the 4th Annual Tokyo Capital Markets Seminar. The Bank of Japan-Financial Systems, Bank Examination and International Departments

Contributed and presented Basel II training materials at seminars on Value at Risk and Loss Data Collection processes, credit analysis and Monte Carlo Simulation methods to Japanese banks. The Tokyo Stock Exchange, Incorporated-Derivatives and Listing Departments and Trading Floor

Monitored trade orders on JGB and Equity Indexes that prevented short term price volatility.

Promoted triangular merger scheme to 25+ targeted firms that increased foreign equity listings. EDUCATION

Temple University, The Fox School of Business, Master of Business Administration, Finance · 05/2000 Johnson C. Smith University, The Honors College, Charlotte, North Carolina Bachelor of Science Degree, Business Management: Awarded Magna Cum Laude · 05/1995 Obirin University, Tokyo, Japan, Japanese Management, Finance and Economics · 08/1994-07/1995 OTHER SKILLS & BLOCKCHAIN PANELIST AND MODERATOR CONFERENCES Adjunct Professor, Corporate Finance and Portfolio Management-Graduate Level- NJIT (now) Commissioned Bank Examiner: Board of Governors of the Federal Reserve System Proficient in Japanese (Reading, Speaking, Writing)

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