Benjamin
P. Brockman
Ben works in RSM’s anti-money laundering and regulatory compliance practice. He has over 15 years of experience working with financial institutions, broker-dealers, and FinTechs with a career-targeted focus specific to BSA/AML, and fraud. His recent accomplishments include:
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Engagement manager for several consent order validations and remediations of a top five global bank supporting the client’s internal audit and second line functions.
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Risk Assessment engagement manager and SME for several banks who are updating and improving their risk assessments
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Look Back solution owner, SME, and engagement manager for transaction monitoring and fraud.
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Second line compliance testing engagement manager for AML and ABAC located in the Asia Pacific region for a major U.S. bank under a consent order with a global presence.
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Internal auditor for regulatory compliance, BSA/AML, and fraud operations for one of the world’s largest global financial services institutions.
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Enhanced due diligence (EDD) engagement manager and SME for a bank headquartered in the Caribbean with a large U.S. presence.
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Payment services transaction monitoring and OFAC engagement manager for a major credit card issuer in the Midwest with an international subsidiary.
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Interim FIU manager for a regional bank on the east coast managing day-to-day operations, including SAR reporting, EDD, and OFAC screening.
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AML Policy and procedure development for several FinTech and digital banks who are in the process of offering cryptocurrencies and digital assets
At RSM, he is responsible for leading the execution of second line AML consent order remediation engagements, AML audits, fraud and cryptocurrency engagements, including planning, coordination of fieldwork and delivery of client reports. Ben is charged with understanding and addressing BSA/AML and regulatory compliance risk to our client stakeholders. He delivers expert consultation and leverages his experience to provide quality products and services to RSM clients.
Professional affiliations and credentials
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Certified anti-money laundering specialist (CAMS)
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Certified cryptocurrency expert (CCE)
Education
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Bachelor of Arts, economics and history, Purdue University, West Lafayette, Indiana