Compliance consultancy

Regulatory Compliance, Risk and Controls Professional (of more than 20 years) with a record of progressive responsibility and significant achievement in development of standardized control and compliance functions in Bitcoin, Blockchain, Fantasy Sports, Payments, FinTech, MSB/MT, Securities, Banks and Insurance. Global experience and industry-wide connections; both practical (in the trenches) and people managing responsibility for compliance and regulatory concerns; global network with expertise in regulatory regimes and recent developments in U.S., Asia & Pacific Rim (India, Singapore, Japan, China), and Europe (U.K., Luxembourg, Germany, Russia, France). Innovator in the field of anti-money laundering and economic sanctions, responsible for delivering “best-in-class” protocols to identify and manage compliance.

Experiential Knowledge: Creation and implementation of AML programs inclusive of Patriot Act, FINRA 3310, MSRB G-41, BSA, EDD, KYC, Customer Identification Programs, OFAC, Sanctions, AML Risk Assessment and Management, Transaction Monitoring including selection and calibration of AML typologies (detection model risk management, scenario design, metrics and tuning, research and analysis.), SAR & CTR research and reporting, Enforcement Actions, 314(a) 314 (b) programs, Regulatory remediation, risk assessments pursuant to FATF and local regulations, independent testing, monitoring rules enhancement/reduction of excessive alerts, customer risk ranking & on-boarding, training and high risk investigations.

Includes: Idology, IdentityMind, Emailage, Verafin, Oracle Mantas, iNautix, LexisNexis, Nice Actimize, NetX360, Dunn and Bradstreet, Reuters Accelus and Worldcheck, Charles River, Patriot Officer and Protegent.

Other Compliance Expertise: Fraud Prevention, Business Continuity, Privacy, Abandoned Property, Foreign Corrupt Practices Act (FCPA), Unfair, Deceptive, or Abusive Acts and Practices (UDAAP) and Anti Bribery and Corruption (ABC).