• Obtaining management buy-in of remediation plan to secure resources such as outside consultants and institutional support for initiatives such as enhancing culture of compliance
• Developing and implementing monitoring and reporting tools to track remediation progress and regularly update examiners to affirm credibility of recovery execution
• Facilitating mid-remediation feedback from regulator to assess efficacy of action plan progress and adjust recovery plan as warranted based on examiner input
Global Head of Compliance Assurance for AML, Sanctions, ABC & Automation,
Senior Vice President, BSA Officer,
East West Bank
Executive Director – Global KYC Audit Manager,
JPMorgan Chase & Co.