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Crypto and Blockchain Chief Compliance Officer

180K +

Summary

Experienced professional with 18+ years in the financial services industry with in-depth experience conducting investigations of complex and high-risk transactions, including resulting suspicious activity reports. Experienced in performing forensic case reviews, financial analysis, research, and written summaries. Specific experience in projects resulting from regulatory oversight. Coordination with financial institutions, monitors, and regulators (NYDFS, OCC, CFPB).

Experienced professional with 18+ years in the financial services industry with in-depth experience conducting investigations of complex and high-risk transactions, including resulting suspicious activity reports. Experienced in performing forensic case reviews, financial analysis, research, and written summaries. Specific experience in projects resulting from regulatory oversight. Coordination with financial institutions, monitors, and regulators (NYDFS, OCC, CFPB).

Experience

JANUARY 2022 - CURRENT

Chief Compliance Officer (Crypto)

  • Development and orchestration of compliance strategies for building and standing-up a BSA/AML Compliance Program.

  • Creation and development of the foundational components of compliance program including, risk assessment, policies, and      procedures to ensure AML/CFT, OFAC/Sanctions and PEP Screening, CDD/KYC framework; etc.

  • SOC2 Type I and Type II – process management.

  • Negotiation of contracts and management of third-party relationships for compliance solutions.

  • Manage compliance related regulatory exams and audits.

  • Development of State Level - Regulator Outreach Program specific to ever changing cryptocurrency laws and regulations.

  • Provide advisory and strategic direction on      compliance related matters to executive team and Board of Directors.

  • Foster positive relationships with regulatory agencies via timely and accurate reporting of MSB financial reporting, licensing requirements and surety bond program development.

  • Preparation of U.S. regulatory filings with FinCEN including Suspicious Activity Reports and final review of high-risk customers through EDD process as well as OFAC hits which arise during KYC process.

  • Transaction Monitoring – AML rule creation, tuning, testing.

  • Preparation and coordination of annual Independent Review/Audit as well as log, track and execute remedial actions stemming from the Independent Review.

  • Monitor industry trends ensuring the company’s MSB-related AML compliance program conforms and adheres to all applicable state and federal laws and regulations with ongoing training and active participations in industry groups and forums.

JUNE 2021 - CURRENT

BSA/AML Compliance Manager (Crypto)

  • Creation and development of BSA/AML Compliance Program for traditional and Bitcoin ATM network of 1000 terminals.

  • Cryptocurrency wallet monitoring, analysis, and investigations

  • Extensive review and research of state-specific money transmitter statutes and regulations for determination of license requirements directly related to State-specific cryptocurrency regulations

  • Point of contact for subpoena/warrant response and review

  • Manage the state Money Transmitter license (MTL) application/renewal process through NMLS

  • Board and Compliance Committee Reporting 

  • Annual AML training program creation and management

  • Initiating transaction monitoring/case management build through in-house dev team – specification development

  • Manage 3rd party technology vendor

  • 3rd Party Independent Review sourcing,  management and deficiency remediation and response

  • Training for AML department analysts; provide ongoing      training on daily functions and processes

  • Research and investigation of transaction data for      decisioning and filing CTRs and SARs.

  • Quality control of analyst created CTRs/SARs and Continuous      Activity Reports (CARs) ensuring adherence to BSA requirements/timelines.

  • Responsible for all CTR and SAR filings with FinCEN

  • State and Federal examinations preparation and response

OCTOBER 2019 – JUNE 2021

Sr. BSA/AML Compliance Specialist (Team Lead)

  • Team lead for AML department, supporting members by providing ongoing training on daily functions and processes.

  • Research and investigation of transaction data for      decisioning and filing CTRs and SARs.

  • Quality control of analyst created CTRs/SARs and Continuous      Activity Reports (CARs) ensuring adherence to BSA requirements/timelines.

  • Responsible for all CTR and SAR filings with FinCEN.

  • Assist Compliance Officer with State Exam preparation and response.

  • Perform daily transaction monitoring (as needed) as well as weekly 90-day lookbacks.

  • Manage the State Money Transmitter license renewal process for approximately 50 states (majority through NMLS)

  • Manage monthly/quarterly and annual State specific money transmission reporting.

  • NMLS Call Report and CA (specific) Call Report

  • Secure/research and organize appropriate documentation and data for State and Federal examinations and independent      reviews.

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