Director of Corporates Services, 3D Asset Management, Hartford, CT (1 yr)
• Promoted brand awareness through website posts, podcasts and social media updates resulting in thirty new sales opportunities
• Planned and executed five advisor events which resulted in fifteen new business relationships, resulting in 2% revenue growth
• Led internal audits including the annual Solicitors survey and implemented the Cybersecurity program for management and staff members
• Managed relationship with the company’s website developer, incorporated team deliverables for development check- ins and utilized WordPress for website posts

Compliance Officer, State Street Bank, Quincy, MA (4 yrs)
Global investment manager with $2.5 trillion AUM, serving a wide variety of clients including institutions and individuals.
• Successfully performed twenty complex contract reviews and identified organization overlap, reducing the Business Units expenses by 10%
• Provided exceptional client service to internal users utilizing three internal Anti-Money Laundering (AML) screening software applications; delivered training to both local and international Business Units and successfully resolved user inquiries
• Performed transaction and case analysis from internal Business Units activity to validate and resolve findings
• Managed the Know Your Customer (KYC) training for Business Units and implemented corporate compliance policies
• Supported internal Business Units by performing Anti-Money Laundering (AML) transaction monitoring utilizing typologies and rules
• Managed vendor risk management projects for Corporate Compliance, utilizing the internal SharePoint tool
• Developed quality control processes and ensured regulatory reporting was in line with OCC regulations
• Led the AML team’s user access review and resolved all findings efficiently and in a timely manner

Compliance Analyst, Bank of New York Mellon, Boston, MA (7 yrs)
Global Investment manager serving individuals and institutions with $35 trillion AUM.
• Managed and tracked responses for thirty vendor risk questionnaires through internal business units and ensured results were satisfactory and in line with deliverables
• Partnered with Portfolio Managers to identify client account exceptions; executed resolution plans and assigned account objectives based on client needs
• Consistently identified and validated data quality through testing and adhered to OCC and Federal Reserve regulations
• Led/executed annual procedure review and provided recommendations for enhancing corporate procedures
• Audited five retail bank branches through internal testing resulting in 99% compliance for regulatory controls
• Monitored/tracked fifty monthly exceptions related to SEI statement ticklers to ensure regulatory requirements were completed
• Analyzed and resolved internal audit findings and implemented Sarbanes-Oxley Act controls for Business Units
• Developed Know Your Customer training for Business Units and implemented corporate compliance policies
• Created Suspicious Activity Reporting (SAR) guideline documents for internal staff and led weekly trainings