Chief Compliance Officer
Risk management and regulatory compliance subject matter expert with extensive domestic and international experience in designing, managing and assessing regulatory compliance programs and internal controls derived from experience as a compliance officer, compliance auditor, regulator and consultant. Possess a thorough knowledge of executive and operating functions and responsibilities, and government agency expectations in public companies and the financial services industry (consumer, investment banking, insurance and wealth management) resulting in an appreciation for both compliance and business perspectives. Specialties: •Regulatory Compliance Programs - US Sentencing Guidelines; FRB; OCC; CFPB; Fair Lending; FINRA; SEC; DOJ; International •AML/BSA, Global Economic Sanctions/OFAC; Anti-Bribery/Corruption; Anti-Fraud •Corporate (e.g., Ethics), banking, securities, anti-bribery/anti-corruption, insurance, and int’l laws •Corporate Governance •Consumer Compliance •Operational Risk •Conduct; Culture Risk •Testing, Assessment & Audit •Vendor/Third Party Risk Management; Oversight •Regulatory regime change/conversions (Bank Holding Company; National Bank) •Remediation - Enforcement actions; control weaknesses •Regulatory Monitorships and Independent Consultancies - DOJ; FRB; OCC; FDIC; NYSDFS •Regulatory Relations
Current Role
- Company Name: New York Community Bank (NYCB)
- Job Title: Chief Compliance Officer
- Start Date: June 2022
- Company Industry: Banking
- Location: United States
Based in Hicksville, NY, New York Community Bancorp, Inc. is the parent of a New York State-chartered bank – New York Community Bank. At March 31, 2022, the Company had assets of $61.0 billion, deposits of $38.0 billion, and stockholders’ equity of $6.9 billion.
Previous Company:
- Company Name: Treliant
- Job Title: Managing Partner; Chief Compliance and Chief Ethics Officer
- Start Date: June 2015
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