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Vanessa K.

Strategic Compliance & Marketing Professional | Financial Services


Financial Services Professional with expertise in compliance and marketing. Consistently provides business partners and clients with exceptional client service through the resolution of inquiries.

Key Skills & Competencies

Problem Resolution | Strategic Planning | Process Improvement | Team Leadership | Compliance Auditing | Annual procedure reviews | Process Improvement Champion | Vendor management
MS Word, PowerPoint, Excel, Access, OFAC, FircoSoft Continuity, FircoSoft, WordPress, BSA, RSA Archer, SharePoint, Prime, Adobe Illustrator, Lexis Nexis, SWIFT, Salesforce

Professional Experience

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

Community Experience

State Street Global Outreach volunteer
State Street Professional Women’s Network member
Everybody Wins reading program


Bachelor of Arts in Communication, Minor in Marketing, Bryant University, Smithfield, RI

Other Experience/Awards/Publications

Wealth Management Mentoring Program Graduate & Next Gen Brand Ambassador Lead (BNY Mellon)

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