•Provide advisory, testing & monitoring services in the Financial Crime Compliance industry.

•Led a team of testing managers to execute first and second line of defense reviews by providing governance and supervision over BSA/AML and OFAC functions
•Appointed FCRA Head of Global Markets & Banking (GBM), Commercial Banking (CMB) and Sanctions for the US and Canada
•Assisted in the establishment of a risk-based compliance testing framework to identify and measure compliance risks PUBLIC Page Two
•Participated in risk prioritization and the setting of standards for testing methodologies, techniques, and procedures
•Provided assurance on risk and control activities conducted by the various business lines
•Ensured the quality of testing, report-writing, and stakeholder protocol standards
•Proactively engaged with senior compliance and business management throughout the planning, testing, and reporting processes

•Oversaw and managed the US AML Capital Markets Enhanced Due Diligence (EDD) program for US RBC Capital Markets, LLC, and Royal Bank of Canada – NY Branch
•Implemented and managed the AML Compliance Testing Program for all aspects of compliance with BSA/AML and OFAC regulations
•Designed and implemented an AML risk scoring model to provide a more precise, automated objective risk-based approach to drive transaction monitoring, periodic reviews, and enhanced due diligence (EDD)
•Administered the US Anti-Bribery Anti-Corruption (ABC) program for RBC Capital Markets, LLC
•Provided regulatory guidance to the various business lines with respect to BSA/AML and OFAC
•Coordinated with Global Compliance Senior Management to conduct the annual Enterprise Risk Assessment for the various US business lines
•Oversaw economic sanctions-based reviews related to cross border clients and transactions
•Developed and oversaw the roll-out of targeted training for BSA/AML, OFAC, and Anti-Bribery/Anti

•Managed AML and sanctions-related quality assurance reviews for all the business lines throughout the Bank with respect to the various aspects of BSA/AML and OFAC regulations
•Developed and implemented a Global OFAC Compliance Monitoring Program
•Collaborated with the business lines to enhance policies and procedures for all issues identified, and recommended value-added improvements and/or corrective actions for issues identified during a monitoring review
•Supported the Global Sanctions Compliance Officer by conducting extensive OFAC monitoring reviews on client and transactional data
•Developed and administered a bank-wide training for the resolution and documentation of sanctions alerts disposition
•Coordinated responses to requests related to regulatory examinations, internal audits, and senior management reports