SUMMARY

• Extensive experience implementing global regulatory compliance projects (AML/KYC). Goal - oriented, outwardly driven, wif TEMPeffective written and verbal communication skills.
• Extensive Compliance Projects include: KYC Enterprise-wide Customer Risk Rating initiative, CIP, EDD and risk assessments wifin Banks, Hedge Funds, Broker/Dealers Registered wif teh NASD, Trusts, Municipalities, Private Corporations, Publicly Traded Companies, Guarantors, Private Equity and Special Purpose Vehicle
• Intuitive Process re-engineering: Ability to identify gaps as part of an overall process, providing risk analysis and recommendations for consistent, sustainable and increased TEMPeffectiveness through improved processes and controls.
• Definitive Risk assessments for Asset/Liability Management, Financial Controls Reviews, Loan Securities TALF/TARP Fund programs wifin minimum capital requirements, specified borrowers and recertification
• AML/BSA regulatory metrics reports for OCC risk indicators, senior compliance management, teh Global Compliance Committee and teh Board Audit Committee
• Futures and Options Markets-Trading Platform Implementation Risk testing
• PMP Training Completed
• Masters of Business Administration- Double Major: Marketing and Information & Communication Systems wif International Business concentration
• BA - Economics wif concentrations in Spanish & French
• Read, write, and speak Greek, French and Spanish languages. Traveler’s noledge of Italian and Norwegian

TECHNICAL SKILLS

SOFTWARE: MS Access, MS PowerPoint, MS Excel, MS Word, MS Outlook, Adobe Photoshop, Adobe Acrobat, Skype, Macromedia Dreamweaver, Visio, MS Project, Lotus Notes, Lotus 1-2-3, WordPerfect, PRIME (AML),Metavante FoxPro, Morcom ExTra, Novell Systems, SQL (coding), LOS, Uniform, Windows 2000/NT/XP, HTML, Lexis-Nexis, WorldCheck, RDS, Norkom

HARDWARE: Dell & Toshiba Laptops, Desktops, Modems, FiOS, Wireless Routers, Mobile Devices

PROFESSIONAL EXPERIENCE

Senior Consultant

Confidential

Responsibilities:

• Lead Project PMs and BA’s using PMLC methodology: provide Project Status Reporting documentation, raise high level issues as necessary, maintain/track issues in Issues Log, maintain budget information, create Project Change Requests as required, securing estimates for work and obtaining approvals, maintain project timelines and project plan.
• Develop Deployment Strategy for all systems involved
• Provide Phase Gating documentation and required gating Project Artifacts
• Project Lead to drive requirements conversations and work sessions to translate Business requirements into System Requirements Documents (SRS) for project across 6 different systems
• Develop Requirements Traceability Matrix for all systems involved
• Review test plans and cases on both an individual system and enterprise-wide level
• Lead other PMs/BAs to understand system requirements and dependencies
• Implementation of NAICS code structure into existing front-end systems to enhance ability to risk rate customers, taking into account impact to different systems, user-interface changes, data quality and ability to use new system structure in future bank systems implementations.
• Continuous process improvement to gather and maintain project process and documentation for future large scope initiatives.

Senior Consultant

Confidential

Responsibilities:

• Global Project Leader - Liased directly wif Line of Business stakeholders across time zones to identify issues, process improvements, managing scope and expectations in a timely manner in accordance wif bank policy.
• Successfully presented results to Chief of Staff saving an additional 3 FTE years/appx. $1MM through deeper dive due diligence to eliminate duplicative production work in lieu of existing reporting, yet remaining in accordance wif existing bank policies.
• Global Project Leader - Streamlined existing Compliance Certificate process by analyzing content, policy, procedure and interviewing Global Regional and Line of Business Heads in accordance wif Sarbanes-Oxley Act for use in Bank Disclosure Certificate.
• Global Project Leader- Redesigned in-flight process for Global Risk Management Monthly Report for Regulatory Engagements data to clearly define risk level wif stakeholders.
• Global Project Management/PMO assist - Provided a data driven approach in designing Line of Business Reports to provide a monthly snapshot of Key Risk Indicators (KRIs), including AML, Sanctions & Anti-Bribery Corruption data.
• Design, develop, analyze and deliver clear, concise risk metrics reports for Global AML/Compliance including Sanctions and AB&C in an online environment
• Provide qualitative and quantitative compliance management information (MI) covering all lines of businesses globally for use by Executive Governance Committee, Monitor Liason Office and Bank Board members.
• Perform quality reviews and audit of existing and new reports and metrics.

Senior Consultant

Confidential

Responsibilities:

• Project Manager for Internal Audit Review on Data Quality
• Conducted review of existing AML Scenario Policy and Procedure across all lines of business (PCM, RBWM, IPB, DPB, GBM) to analyze current scenario methodology to prepared formal response documents for OCC-based findings and presented to Senior Management, Internal Audit & Review departments as well as Board Members.
• Maintained project plan, timelines, work breakdown tasks for team members, bi-weekly updates, response documentation audit log, issues logs, issue resolution database, established and communicated risk tolerance levels to multiple formal audiences, both internally and externally and formal closure/approval documentation.
• Maintained change request and business requirements documents to reflect audit response decisions.
• Work wif data quality finding review; identify data quality issues, including lineage, analyze solutions for existing data feeds. Data validation and end to end test processes identification.
• Team Project Lead for Local and Global Governance Board Projects
• Specialist in project, program and portfolio governance processes, procedures and control systems at both teh local and global level
• Used AML data to provide analysis and recommendation for AML governance improvements by system and Line of Business
• Identified process, procedure and AML scenario gaps for analysis and resolution by external teams, including process re-engineering. Developed process maps and detailed implementation plans for presentation to Senior Management
• Solicit cooperation wifout direct management of 30+ team members globally to provide required response information on time.
• Perform various duties around anti-bribery & corruption compliance, investigations and due diligence

Senior Consultant

Confidential - New York

Responsibilities:

• Work closely wif Middle Office Senior Management and Technology Team colleagues, Corporate Business Stakeholders andSMEs throughout teh delivery lifecycle to create Business Requirements Document for Foreign Exchange Markets KYC system.
• Gathering requirements from Global Users, Writing Functional Specifications, Building Test Plans, and Coordinating teh modules from inception through development and to implementation of teh program, delivered as a series of implementation components over phased releases.
• Provide data mapping services for external foreign exchange data feed information for direct upload to system from Wall Street Foreign Exchange Information Services.
• Track existing scope and further define business process workflow impact, track and report any associated time and/or budgetary costs to project.
• Present requirements to Senior Business and IT Management.
• Redefine and re-engineer business process workflow for KYC processes in both Corporate and Foreign Exchange markets wif both U.S. And Scandinavian-based clients to work more efficiently wifin existing budget, personnel and systems capabilities to streamline excessive and unnecessary.
• Reduce overhead by 40% through re-structuring of required documentation wifin existing protocols and additionally improving customer perception of bank’s ability to provide outstanding customer service.
• Work closely wif Prime, MIDAS, Greens, and respective Nordic country systems to further streamline impact to daily KYC workflow and file review.

Senior Project Consultant

Confidential

Responsibilities:

• Review Norkom daily generated alerts, related to correspondent banking activity
• Investigate high risk transactions including but not limited to subpoenas, tax evasion, money laundering and terrorist financing money laundering patterns such as inconsistencies between information provided on teh credit facility versus teh actual transaction
• Liaise wif business to obtain additional information in order to resolve pending cases
• Conduct EDD on all parties including teh use of Google, World Check, RDC, Lexis Nexis to validate information and to determine any inconsistencies to determine any unusual pattern.
• Populate master tracking AML spreadsheet wif findings and including a comprehensive case narrative to be presented to teh compliance committee and federal regulators.
• Escalate to compliance manager unresolved issues and populate SAR as necessary.
• Train new investigators and prepare onboarding materials as required.
• Work wif externals systems vendors to administer custom system improvements
• Participated in OFAC training to keep updated on government and bank policies to mitigate exposure to risk.
• Developed enhanced alert setup program to improve quality, reduce errors and provide clarity to investigators. Trained Team Leaders and other investigators on same in hands-on sessions to increase number of alerts reviewed monthly and reduce overall bank overhead

Senior Consultant - KYC

Confidential

Responsibilities:

• Worked wif KYC onboarding, stakeholders to identify improvements and recommend modifications to scenario suite to identify gaps and write required documentation for enhancements to scenario suite KYC information and related account documentation for existing and new correspondent banking customers as defined by teh Bank's Anti-Money Laundering Policy.
• Involved in periodic Due Diligence (EDD) reviews on all client accounts including Investment Companies, Family and Corporate Trusts, Hedge Funds, Holding Companies and Special Purpose Vehicles using various databases, teh internet for any adverse media coverage and ensured underlying data are correctly recorded.
• Record KYC documentation in teh banks database and monitor teh progress of pending documentation.
• Recommend revised workflow to on-boarding process for bank’s corporate customers to produce more TEMPeffective tracking and identification of sensitive client information in conjunction wif Fed requirements
• AML Surveillance Systems Review & Tuning-Business Analyst
• Performed analyses and assessment of alerts generated from Mantas using internal/external
• Work closely wif business units to determine requirements, perform gap analysis on existing systems, and prioritize
• Reviewed databases for compatibility wif new PRIME rules and provided independent AML testing plan
• Verified teh completeness and accuracy of AML system alert logic
• Made suitable recommendations to define deliverables for alert suppression
• Integrated data results from MS Access queries wif MS Excel to provide rule performance results via teh use of pivot tables and VLOOKUPs, as well as other MS Excel data manipulation tools to provide ad-hoc query results to bank executives on PRIME rule performance results.
• Provided additional business analysis and serve as liaison between IT development department and business end-user, ability to assess teh regulatory aspect of processes, identify improvements, and drive improvement execution by completing project(s) to time and budget for front office, client on boarding system servicing capital markets clients.
• Performed trend analysis, identification of patterns, and risk factor considerations to support teh business unit to control appropriate risk factors by identifying and developing TEMPeffective risk strategies to meet KYC, AML wifin BSA & FSA standards.
• Analyzed business requirements and review/produce specifications for any new/change to technology applications and work wif teh Systems Developers and development team to ensure that they understand teh specifications.

Senior Consultant

Confidential - New York

Responsibilities:

• Research prospective properties’ ability to be developed as per existing laws and requirements of Greek building codes, as well as all other information surrounding potential return on investment.
• Designed, developed, launched website, marketing materials and presentation packages for Real Estate Investment Companies (REIMs).
• Met wif global buyers to evaluate interest in potential property investments (multi-family and hotel/resort)

Project Manager

Confidential

Responsibilities:

• Designed, developed, implemented and launched website for online Sales of Greek Children’s Books & Educational Products
• Developed marketing & sales initiatives through direct mail and e-mail campaign initiatives.
• Source directly from Greek publishers and American innovators for new products.