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Regulatory & Compliance Project Specialist

Growth Companies / Divestitures / Integration & Implementation / Crisis Management / Cost Containment / Regulatory Issues / Big 4 Consulting 

Fortune 1000 Consultant with Process and IT Management Experience: I have an exceptionally diverse consulting career working with many well-known firms including JPMorgan, Citigroup, BNP Paribas, Amalgamated Bank, M&T Bank, Lehman, Bear Stearns, American Express, Wells Fargo, Western Union, Wachovia, Bank of America, MasterCard and many others. Career Track: Professional growth through such assignments as Crisis Consultant, Process Improvement Specialist, Project Cost Containment, Regulatory IT Specialist, Complex Project Management Specialist, and Practice Leader.

Growth Company Experience / Complex Operations / Project Specialist: I have developed and utilized my diverse consulting experience gained while working with some of the world's largest organizations managing extremely complex projects with impossible deadlines, providing interim operations management, integrating systems and processes, implementing compliance solutions, improving processes and reducing IT for substantial cost savings, running crisis management projects, and resolving Enforcement Actions.

Proven Record of Success: I am skilled working closely with top management being assigned the tasks of managing crisis projects, improving productivity, achieving regulatory compliance, and containing costs.

International Experience: My career has given me the opportunity to work in North America, London, and Asia/Pacific.

BS - Business Administration; MS - Finance

PMP Certified; CAMS Certified; Member ACFE

Selected Skills & Achievements

  • Skills: Exceptionally strong written and verbal communication skills. Ability to analyze difficult situations rapidly and perform against impossible deadlines. Self motivated and hands on - can meet the most demanding objectives. Ability to grasp complex technical matters quickly.
  • Successfully managed a tight deadline complex regulatory project which involved cross-business coordination, Compliance operations, investigation procedures, and over 20 staff personnel, providing project leadership and guidance for Chief Compliance Officer (CCO). Worked directly with CCO and the VP of Administration completing the project on schedule and successfully resolved their USA Patriot Act violations. Identified and resolved a number of weak control points. Director, Deloitte & Touche.
  • Reduced Compliance costs by streamlining operating procedures and eliminating duplicate processes and technologies. Identified duplicate costly workflows and processes and developed and executed plan for elimination. Directed IT to eliminate duplicate supporting technologies and consolidate their support functions within a shared service center. Savings were substantial. Director, Deloitte & Touche.
  • Turned around a failed regulatory project by utilizing project and crisis management skills. Directed activities of the Compliance staff and IT and quickly identified key constituents, roles, and responsibilities. Designed project plan with drop dead dates and managed team to successfully turn around project and complete with only a 10 percent overrun. Utilized PMP certified project management techniques. Director, Deloitte & Touche.
  • For an international firm designed and implemented 100+ behavior analytics to identify suspicious activity (AML monitoring, list processing, & surveillance) within their retail, private bank, asset management, investment bank, and treasury services business units. Scenarios were 'phase' implemented across the US, London, and Asia Pacific offices. Associate Partner, IBM.

Career Overview

  • Governance, Risk, and Compliance Consulting - Partner
  • Deloitte & Touche LLP - Director, Regulatory & Capital Markets Compliance Technology Leader
  • Deloitte & Touche LLP - Director, AML/Anti-Fraud Technology Leader
  • IBM Global Services - Associate Partner, AML Banking and Strategy Leader
  • PricewaterhouseCoopers - Managing Director, AML/Surveillance Technology

Work experience

Associate Partner

Associate Partner, Banking Strategy and Management (October 2002 – July 2004)

Focused on securities surveillance initiatives and worked closely with IBM AML team in Charlotte, NC. Sold and delivered $8MM (hardware and consulting) AML project at JPMorgan Chase and selected to coordinate the integration of Compliance technology and processes.

  • AML leader in Banking Strategy sector:
    • Managed and delivered 1.5 year $8MM AML process & technology project at JPMorgan Chase
    • Subject matter expert on securities surveillance assisting other IBM financial service groups
  • Generated new and significant revenues by teaming with the hardware organization:
    • Consulted on large global agent AML project at Western Union.
    • Provided subject matter expertise for project at Toronto Dominion Bank AML resulting in sale of $1.5MM Phase 2 project on client SAS implementation.
    • Assisted hardware team in structuring and planning a $10MM AML project at Wachovia.


Director, Financial Advisory Services (7/04-11/06)

Lead and delivered anti-money laundering, BSA, anti-fraud, anti-corruption, BASEL II, and control services for a number of large banks. Services included: transaction reviews (lookbacks); Suspicious Activity Reports (SAR) analysis and reporting; strategic AML systems planning; AML package(s) identification and selection; and supporting the Chief Compliance Officer. Recruited and led team of 12 AML technology experts based in New York supporting Deloitte’s AML regulatory and process groups.

  • Spearheaded the technology requirements for AML Lookbacks resulting in rapid team deployment and productivity improvements in converting transactions to test system for further analysis. This demonstrated progress to the regulators.
  • Implemented KYC, List Management, and Transaction Monitoring technologies to a number of major financial service clients:
    • Integrated KYC geography, transaction types, and customer types with account opening and review procedures to address regulatory requirements
    • Implemented List Management solutions to address grey lists, black lists, white lists, and country specific lists which facilitated OFAC and 314A reporting in addition to tuning transaction monitoring. Fircosoft, Prime Associates, SAS, STB Systems, Worldcheck, & Complinet.
    • Transaction monitoring solutions were selected and implemented providing the client with ability to effectively monitor financial transactions and report suspicious activity to FINcen.
  • Negotiated strategic relationships with the leading AML vendors including; Actimize, Searchspace, Mantas, Norkom, NetEconomy, SAS, and Syfact:
    • Team became more leveragable as knowledge of specific vendor solutions increased.
    • Co-marketing with vendors resulted in a significant increase in team revenue.
    • Eminence activities with vendors enhanced our image in the marketplace.
  • Led financial fraud investigations utilizing Deloitte’s proprietary anti-fraud tool, DTect:
    • For large pharmaceutical firm, extracted and analyzed payroll and accounts payable vendors, employees, and transactions identifying significant unusual transactions which led to a fraud investigation. DTect, ACL, MySQL, and Access.
    • For large telecom firm, extracted and analyzed payroll, accounts payable, and accounts receivable employees, customers, vendors, and transactions for 3 year period identifying a significant vendor fraud issue.
  • Participated in leadership activities representing the Financial Advisory Services in strategic forums:
    • Banking industry strategy leader representing our organization and educating other groups as to our capabilities and services.
    • Worked as one of the account representatives chartered with selling professional services work at American Express, MasterCard, Wachovia, and JPMorgan.


Director, Regulatory and Capital Markets Consulting (11/06-7/08)

Lead and delivered compliance risk services for a number of large Wall Street firms. Projects focused on BASEL II, AML, KYC, Controls, and Compliance Value Chain (personally co-authored) including: Health Check, Component Modeling, Components and Solutions, Data Management, Metrics and Monitoring, Dashboards and Reporting, and Change of Control services. Oversaw New York based team professional services and accountable for selling and delivering over $4MM in revenue.

  • Co-managed a successful Regulatory and Compliance Risk Transformation and Collateral Management practice. Developed unique services for delivery to clients helping integrate compliance risk processes and technologies. Recruited and deployed expert team of professionals, successfully selling and delivering $2.5MM in professional fees. Open-Pages, SharePoint, QUMAS, BWise.
  • Facilitated the development and implementation of an intranet web portal which could be leveraged by the US practice, which also contained links to documents for staff to utilize project artifacts, current staff resumes, and client references. Program was successful, went live January 2008, and was delivered to over 700 staff members within the Regulatory and Capital Markets Consulting organization.
  • Spearheaded the development of integrated compliance risk services (iCRM) designed to identify and reduce client’s Compliance costs by up to 20%. Successful engagements were sold to Wells Fargo and Credit Suisse.
  • Supported reverse mortgage, Fair Lending, and Community Reinforcement Act reporting for a large south east bank.



Market, sell, and implement governance risk and compliance services for financial firms and develop client base for emerging electronic medical / data records requirements under emerging Federal Government mandated healthcare reforms. Projects are technology enablement focused in areas such as Compliance (surveillance, AML, BSA, Control Room, and regulatory reporting); IT governance (strategies, enhancements, deployments); and risk services (collateral management, margin calls, incident management, operational risk, and market risk). Accountable for developing electronic medical records partnerships with leading vendors, identifying, selling and managing electronic records services in the Northeast.

  • Co-built a successful GRC practice. Leveraged prior experience to create a number of unique services to sell and deliver to financial services clients including enhancing their compliance risk processes and technologies. Working with co-Partner we have successfully sold and are currently delivering subject matter expertise services on a large collateral management project.
  • Working with several contacts in Washington D.C. to sell our services in support of the Troubled Asset Recovery Program (TARP). Are represented in key meetings and have submitted qualifications and proposal. Given the size and complexity of TARP our efforts are aimed at working through a larger integrator (two large firms have already been selected and we are in discussions with both.