Accomplished and Experienced ERM & Compliance Management Professional

AGATA E. MAURER, M.S., CRCM, CAMS

***** ****** ***** ■ Fishers, Indiana 46038

***********@*****.*** ■ 734-***-**** cell

SUMMARY

Motivated and experienced business professional with a successful 25+ year career in financial services at various levels and areas of management, including over 20 years in regulatory compliance management, BSA/AML/OFAC, financial crimes, enterprise risk management (ERM), and governance. Demonstrated history of servant leadership with excellent team-building and mentoring skills. Effectively manages and responds to change in deadline-driven environments. Flexible and versatile, able to acquire new skills and responsibilities quickly. Experienced in proper handling, distribution, and disposition of confidential records. Established public speaker and trainer with experience presenting a wide range of topics at internal and external (industry) meetings, conferences, seminars, and webinars. SKILLS & EXPERIENCE OVERVIEW

Bi-lingual (Polish/English)

Board of Directors reporting

Regulatory Exam Management

Team & People Management

RCSA Process Management

Project Management

Third Party Risk Management

GRC Program Implementation

Regulatory Mapping

Regulatory Gap Analysis

Regulatory Change Management

Ethics & Fraud Investigations

BSA, AML, KYC, CIP, EDD

OFAC & Global Sanctions

Marketing Compliance

Mergers & Acquisitions

Privacy (financial, healthcare)

HIPAA & HITECH expertise

Prop & Simulated Trading

Electronic & Mobile Banking

Payments Compliance

Fair Banking / Fair Lending

Policy Management

Public Speaking & Training

EMPLOYMENT HISTORY

LUMINAXITY RISK & COMPLIANCE SOLUTIONS – Fishers, IN President & Founder 2023 – present

Responsible for providing risk management and regulatory compliance consulting, including MRA remediation, regulatory mapping, risk mitigation, and custom, client-centric compliance training. Member of the GLG Network as a freelance Expert Advisor. EASTON CONSULTING TECHNOLOGIES – Fishers, IN (remote position) Director of Compliance 2023 – 2024

Key leadership position responsible for developing, maintaining, and implementing a robust compliance framework aligned with regulatory requirements and industry best practices around the globe. Collaborated closely with executive leadership to ensure the prop trading firm’s adherence to regulatory standards in all jurisdictions. Provided reports on proposed regulations on prop trading from various regulatory agencies, including the US, EU, UK, UAE, the Bahamas, Asia, Africa, and Australia/NZ. MAZARS (now Forvis Mazars) – NYC & Fishers, IN (remote position with travel) Consulting Manager, Risk & Compliance 2021 – 2023

Manager in the Financial Services Consulting Group of Mazars, serving clients throughout the US, UK, EU, and Asia. Subject matter expert in BSA/AML/OFAC, payments, and financial crimes. Experienced manager of internal audits, compliance reviews, and large MRA remediation projects. Requested public speaker and trainer for some of the largest financial services companies in the world. STATE BANK – Brownsburg, IN (on-site)

VP, Senior Director of Compliance 2021 – 2021

Contract position to mentor new compliance team for the bank (previously State Bank of Lizton) and overhaul compliance, internal audit, and risk management program. FIRST INTERNET BANK OF INDIANA – Fishers, IN (hybrid) VP, BSA/AML and Fraud Management 2020 – 2020

Responsible for overseeing the BSA/AML and investigations team, managing investigations, providing reporting to senior leadership and the Board of Directors, updating and revising AML risk assessment and emerging fraud risks during the initial shutdown due to COVID. RUOFF HOME MORTGAGE (RUOFF) – Fort Wayne, IN & Fishers, IN (hybrid) Chief Banking Officer (CBO) 2019 – 2020

Responsible for all aspects of managing the company’s transition into retail banking (proposed as Ruoff Bank), including but not limited to strategic planning, staffing and reporting structures, policy development and implementation, budgeting, growth projections, deposit account and fee schedule design, website design, core system selection, marketing, community outreach, and overall branch and sales management. Initially hired as VP of Retail Banking and promoted to CBO after 3 months. FEDERAL HOME LOAN BANK OF INDIANAPOLIS (FHLBI) – Indianapolis, IN AVP, Compliance Director & BSA/AML Officer 2014 – 2019 Responsible for the coordination, support, and implementation of Bank-wide compliance activities. Also appointed by the Board of Directors to be the BSA/AML Officer responsible for managing the Bank's Bank Secrecy Act, Anti-Money Laundering Act, Suspended Counterparty Program, OFAC, and Suspicious Activity Reporting and other regulatory filings. Responsible for designing an effective Compliance Monitoring Review (CMR) process for the Bank and conducting or facilitating all compliance-related training for all departments. Other responsibilities included the development and implantation of a Policy Management program, GRC software implementation, as well as oversight of the record retention program, data privacy/security, and Regulatory Change Management. BKD, LLP (now Forvis Mazars) – Indianapolis, IN

Senior Managing Consultant, Regulatory Compliance 2012 – 2014 Responsible for assisting financial institution clients with their regulatory compliance needs. Performed compliance audits and reviews of lending, deposits, BSA/AML, OFAC, Fair Lending, HMDA, and CRA. Conducted comprehensive regulatory compliance risk assessments and regulatory mapping and provided ongoing support as a primary compliance resource to clients. Assisted clients in performing risk and control self-assessments (RCSA) and provided regulatory exam support. Developed and wrote compliance-related programs, policies and procedures. Presented on compliance and financial crimes topics at bank and credit union meetings, conferences and conventions. FIRST CITIZENS BANK & TRUST CO. – Raleigh, NC 2009 – 2012 VP, Corporate Compliance Officer

Responsible for providing compliance expertise and oversight in Mergers & Acquisitions, Marketing & Advertising, mobile and online banking, P2P payments, and all disclosures related to those functions. Subject matter expert in deposits compliance, tasked with proper oversight of all deposit regulations. Assisted all departments throughout the Bank with regulatory compliance issues and projects. WATERFIELD BANK / AFFINITY FINANCIAL – Indianapolis, IN and Irvine, CA VP – Chief Compliance Officer, BSA/AML Officer, Ethics Officer 2007 – 2009 Chief Compliance Officer role for the bank (in Carmel, IN) and its holding company (in Irvine, CA). Oversaw compliance of all Affinity-owned businesses, including over 50 private-label banking entities and a technology (FinTech) company. Responsible for all exam management of the bank, including acting as the liaison between examiners and senior management and the Board of Directors. Responsible for risk management, training, and MRA remediation for all departments. ADDITIONAL RELEVANT WORK EXPERIENCE

Baker College: 2004-2007 (adjunct faculty in Information & Business Technology) Community Financial Credit Union: 2004 – 2007

Comerica Bank: 2001 – 2004

Standard Federal Bank: 1998 – 2000

REGULATORY AGENCY EXPERIENCE – Regulatory Mapping & Exam Management FDIC, FRB, OCC, NCUA, FHFA, SEC, FTC, FINRA, FinCEN, CFPB, and various state-specific DFIs EDUCATION

WAYNE STATE UNIVERSITY – Detroit, MI

Bachelor of Arts, December 2000 (graduated with Cum Laude honors distinction) Major: Music; Minor: Sociology/Criminology

EASTERN MICHIGAN UNIVERSITY – Ypsilanti, MI

Post-graduate non-degree program, 2001-2002

Social Statistics, Sociology, Accounting courses

CONCORDIA UNIVERSITY – Ann Arbor, MI

Master of Science, May 2004

Major: Organizational Leadership & Administration

PROFESSIONAL CERTIFICATIONS

Certified Regulatory Compliance Manager (CRCM) – June 2013 Certified Anti-Money Laundering Specialist (CAMS) – August 2014 PROFESSIONAL TRAINING

American Bankers Association (ABA) National Compliance School – 2013 American Bankers Association (ABA) Intermediate Compliance School – 2016 University of Indianapolis Supervisory Institute - 2017 References will be gladly provided upon request.

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