About
➢ Over 10 years of increasing responsibility in regulatory compliance, financial crime, fraud, global economic sanctions programs, AML/CTF, internal controls, risk assessment, third-party oversight, and financial supervision across Tier 1 institutions in U.S. and Europe.
➢ Possess a strong knowledge of Europe, having grown up and lived in Paris
➢ Regulations based on OFAC, AML/CTF, FATF, EU, UN AMF, EBA, ECB, ESMA, ACPR, MIFID, FINRA, FIU, FCC EBA, ECB, EU, HMT, OCDE, AFA, MIFID, Export Administration Regulations. Foreign Corrupt Practices Act (FCPA), Bank Secrecy Act (BSA), Broker-Dealer, AML Directives (IV & V; VI), FATF/Wolfsberg—Outsourcing Management, Knowledge of FINRA, SEC -CFTC, UDAAP & NFA regulatory rules. Sanctions framework to access risk exposure across jurisdiction and tech. Research classification of third-party products& BIS license ap.
➢ Internal control frameworks. EO Experience with risk and escalation & decision. Export regulations ITAR, EAR and foreign regulations
➢ Regulatory reporting’s: SEC, FCA, Surfi -Blanchiment, RACI, RCI, NBBQ, FFIEC, Call Reports.
➢ Interest in Reg O governs how banks lend to their “insiders” and Regulation Z – Truth in Lending Act (TILA),ect
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