Vivian brings over 18 years of regulatory compliance risk management experience to commercial retail and foreign wholesale banks. Her area of expertise: AML/BSA/OFAC and global sanctions, consumer and wholesale regulatory compliance, risk assessment, enterprise risk management, corporate governance, and Board of Directors reporting.
- Expert knowledge of AML/BSA/OFAC regulations and retail/wholesale banking operations.
- AML/BSA, Compliance & Safety and Soundness Examination (OCC/FRB/FDIC/State/Taiwan FSC).
- Full scope consumer compliance risk management at a community bank in NYC.
- Litigation management at a foreign retail branch in NYC.
- BSA/AML and regulatory compliance management at two foreign wholesale branches in NYC.
- Various legal and compliance positions at an international commercial bank with multi-state cross-continent operation (NY/MA/CA/WA and oversea branches in China, Hong Kong, and Taiwan).
Specific Skill Sets
- Enforcement action remediation (MOU/Cease and Desist Order).
- Turnaround AML/BSA/OFAC and compliance deficiencies.
- Tailoring and enhancing AML/BSA/OFAC and compliance programs.
- Training and presentations for all level of compliance audience, including Board of Directors.
- Enterprise risk management, including AML/BSA/OFAC and compliance risk assessments.
- Global syndication, commercial real estate lending, and construction lending.
- Merger and Acquisition related legal and compliance risk management.
- New York State Attorney
- Certified Regulatory Compliance Manager (CRCM)
- Certified Anti-Money Laundering Specialist (CAMS)