Provided key Global BSA/AML program health metrics to Regulators, Executive Management and relevant lines of business.Also responsible for forging strong partnerships within Global AML, Lines of Business and the Global AML PMO and other technology and data standards groups to define and implement key value-added program health metrics and monitoring processes, while driving consistency of approach and harmonization of BSA/AML metrics across the enterprise.
Responsible for the development and execution of the AML Compliance Testing Program by applying the elements of regulatory bank exams through appropriate testing and review of the businesses.
Worked closely with the Audit, Regulatory Compliance, Risk Management, Global AML Compliance and other departments to ensure an effective compliance testing program.The testing included reviews of data samples captured by lines of business and comparing samples to written procedures; testing transaction monitoring, investigation and reporting practices against procedures and testing global procedures against applicable legislation and regulations.
Analyzed compliance review findings and perform root cause analysis; distinguish between various levels of compliance risks while applying a risk based approach to determine process gaps or deficiencies.
Identified and assist in resolving compliance control gaps and make recommendations for enhancements where necessary. Ensure appropriate corrective action plans are in place and validate/track action plans to implementation.
Communicated compliance testing program information as well as results to Senior Management and lines of business (LOB).
Successfully established defined Global AML Dashboard requirements, determined ownership/production responsibilities, defined, developed and implemented collection, approval, distribution, escalation and maintenance processes over the following projects:
1.Global AML Dashboard
2.Executive BSA Program Health Metrics and Reporting
3.Regulatory BSA Program Health Metrics and Reporting
4.Line of Business BSA Program Health Metrics and Reporting
5.Project Indigo (Spirit Medallion Recipient)