Services

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I’ve led large teams in enterprise wide projects in Operations and Process Improvement, Regulatory and Compliance, Technology Strategy, Business Process Transformation, Target Operating Model (TOM) Development, Application Development, and Implementation of AML Systems, Risk Systems, Finance Systems, and Trading Technologies.  

Mentoring, Coaching, Training, Hiring & Firing

I’m a Certified Anti-Money Laundering Specialist. I have particular expertise in client, product and legal reference data management and have performed this and other roles over the past 20+ years both in-house and as a management consultant for investment banks, brokerages, asset managers, retail and private banks, hedge funds, Oil Majors, and CFM’s.

Regulatory Compliance Analytics:

-Risk + control analytics

-Regulatory compliance dashboards

-AML, Name Screening, & Sanction Screening model creation, validation, testing, and implementation

-Application of Machine learning and AI to -Alert Clearing, Name Screening, and Sanctions Screening

-Unified reporting

-Customer insights and profiling

-Customer segmentation and clustering

-Customer risk rating

-Screening models/ qualification models

 I led the implementation of new processes, systems, and software for my Regulatory and Compliance clients in Capital Markets, Investment Banking,  Retail Banking, Card Services, Private Wealth Management, Private Banking, and Brokerage.  These clients included Morgan Stanley in Hong Kong, Standard Chartered in Singapore, HSBC in London,  Credit Suisse in New York, London, Zurich & Singapore., and Barclays in New York, London, and Singapore

I have supervised and delivered regulatory compliance change programs including implementation of new policies and procedures across the Patriot Act, AML/BSA, OFAC, FCPA, GDPR, MIFID, MAR, IAA 1940, and DFS 504.3. as governed by various regulatory entities including the FED, FINRA, CFTC, OCC, SEC, FinCen, FCA, HKMA, MAS.

Multi million dollar P&L responsibility:

• Led Derivatives Operations, Data and Compliance Product Development, a $52+ million book of business, resulting in 15% growth YOY across Credit Suisse, Barclays, Morgan Stanley, and Citigroup

•  Led $10 million+ book of IT and Management Consulting projects, resulting in 300% growth YOY across Credit Suisse, Barclays, Bank of Montreal, Millennium, and Citigroup

• Led Derivatives Ops, Finance, Risk, KYC and Client On-Boarding efforts for Credit Suisse, a $20 million+ book of business resulting in 22% growth YOY

• Led Ops, Finance, Regulatory and Reference Data BPO efforts for Barclays, a $16 million+ book of business, up from $10 million –Resulting in 60% growth over 3 years

• Led Middle Office Strategic Review for Barclays – Result: Detailed Time and Motion data analysis led to complete re-structuring

• Led KYC remediation program for JPMC –Result:  120,000+ entities reviewed

I developed the roadmap and led the teams to create these products:

-Alert Classifier Solution “ACS”: 

Machine Learning for Alert Clearing and Alert Risk Ranking

-Compliance Manager: 

KYC and Client On-Boarding workflow

-Billing Manager: 

Broker Lifecycle Management

-Document Management: 

Extractor –Document Digitization

-Reconciliation Manager: 

trade break management

-Risk and Control Dashboard: 

Operational Risk Reporting and Control

-Company Website Development: 

FS Digital Marketing