Myself

Consultant Sanctions,AML,KYC

Director

ICBC (International and Commercial Bank of China) /Broker Dealer

AML/KYC Consultant

Standard Chartered Bank

Ensured bank-wide compliance with US Sanctions Rules and Regulations for all applicable Sanctions regimes during the on boarding process for the New York branch of Standard Chartered. 

Utilized my expertise as a Subject Matter Expert in relation to OFAC/ BSA / AML and KYC Compliance rules and regulations, while acting as the Sanctions Liaison to the Client Onboarding Account Management team. 

Provided sanctions guidance to the various business units, especially Relationship Managers, Account opening teams and reviewed all Sanctions Risk Assessment Forms for completeness and adherence to applicable internal bank policies and procedures; in addition to  OFAC, the EU, the UN,  and HMT  ( Her Majesty’s Treasury UK ) Sanctions regimes 

The purpose for these reviews was to mitigate any and all sanctions risk for prospective and current clients. 

Proactively identified and assisted with the remediation of sanctions issues and concerns by recommending solutions to improve controls/operations. 

Conducted targeted OFAC / sanctions training to various departments /stakeholders in the bank. 

Managed a 4 year ad-hoc AML / Sanctions transaction look-back project where the final outcome was to rule out any nexus to a Sanctions concern, while training and managing three contractors. 

Initiated bimonthly study sessions to ensure the CDD (Account Opening) teams understood and adhered to the bank’s CDD and Sanctions policy and procedures with regards to all internal and external regulatory updates.

Associate Director  U.S. Sanctions Program Management

BNP Paribas

I was the designated OFAC Compliance Officer where the payments team would send me payment transactions that they could not decision themselves. I would utilize my expertise to decide whetweher a true SDN match or not and act accordingly. Additionally I dealt with various regulators, performed target training, and dealt with OFAC blocks and reject reports

VP/OFAC Compliance Officer

Credit Lyonnais

•	Daily OFAC review of referrals from the Funds Transfer department ,  utilizing compliance systems to detect violations against of potential matches to the OFAC  SDN ( Specially Designated Nationals ) U.S. Treasury listings  
•	Performed suspicious activity investigations which included documenting, reporting and filing of Suspicious Activity Reports sent to FinCen, ( Financial Crimes Enforcement Network )
•	Assisted in the writing of Correspondent Banking and Capital Markets Business lines procedures,  in addition to Compliance manuals policies and procedures 
•	Reviewed and advised under the direction of the Chief Compliance Officer and the Compliance Officer, all pertinent laws and regulations and their potential impact on affected Correspondent Banking and Capital Markets Business lines. 
•	Reviewed  new client account documentation for adherence to the CIP, KYC,AML,BSA, prerequisites and account opening protocols for Correspondent Banking and Capital Markets customers, ensuring ensure compliance with internal procedures 
•	Coordinated and performed compliance driven Regulatory reviews of all Correspondent Banking, Capital Markets, and Private Banking areas of the bank; these  involved mitigating AML and OFAC risks  in relation to all  applicable laws, regulations and assessments of controls, and   recommending improvements when necessary 
•	Conducted USA Patriot Act Department of the Treasury 314(a) requests/searches and required reporting, in addition to being the banks Patriot Act 314 (b) contact for information sharing purposes

Senior Associate/AVP

I maintain an impressive amount of experience and expertise in the fields of compliance, sanctions, and financial crime prevention. My extensive background spanning over two decades in traditional banking and nearly four years in the emerging crypto and block-chain space provides me a unique perspective and skill set that I believe would be highly valuable in today's rapidly evolving regulatory landscape. I can bring this vast wealth of experience to any Financial Institution to ensure compliance with the rapidly expanding and ever-changing regulatory landscape. 

My dedication to staying updated on sanctions regulations, geopolitical developments, and emerging technologies demonstrates my commitment to excellence and a proactive approach to every task I perform. 

My exemplary track record, and continued lifelong learning epitomized by my completion of a multitude of Anti-Financial Crime courses to keep abreast of all of the new and ever expanding money laundering and sanctions evasion typologies currently utilized by criminals to perpetrate their vast amounts of illicit behavior.  

Additionally I have remained current on the vast amount of innovation available by studying varied topics such as Artificial Intelligence, and how AI can assist in the fight against Human Trafficking, Money Laundering, Fraud, and sanctions evasion tactics currently utilized. 

By acquiring two Crypto compliance certifications in April, and June of 2021, this shows my continued quest for advancement in new and emerging technologies which added to my existing credentials as a CAMS (Certified Anti-Money Laundering Specialist) that I have held since the year 2005.  

As an independent consultant I worked with various financial institutions which further brought forth my proficiency in these areas, in my chosen field of Ant-Financial crime. My leadership, project management, and customer service skills are undoubtedly assets in my current roles at the startups I am involved with. 

Additionally, my initiative in publishing a monthly cryptocurrency newsletter showcases my willingness to share knowledge and contribute to industry discourse.  

Skills:
Programming languages:
Python, SQL, C++, 
Artificial General Intelligence, Payment skills: SWIFT which includes expertise in multitude of all payment types 

AML/sanction databases: 
Actimize, Palantir, Orbis, Fircosoft, Montran/Prime, QLUE Crypto forensics tool

Negative news search tools:
Bankers Almanac, World Check, OSINT, Lexis Nexis, West Law, and Norkom

https://lnkd.in/eBWgutGC This is the 3rd or 4th warning in 2 days folks! Google had a separate one and CISA earlier! But how do you know if these are real? What if you click on the link and that's hacked already? I'm not a Cyber security expert but can that happen??

Robert L.  Williams III, CAMS,CCI,CRFCC

CAMS certified AML/TF subject matter expert, comprising over twenty in the field of Anti Money Laundering and Terrorist Financing investigation. 

SME (Subject Matter Expert) Knowledgeable of AML Laws & Regulations including the sanctions regimes such as OFAC, the EU, and HMT (Her Majesty’s Treasury) (UK) while employed at 3 major foreign banks. 

In the past 2 years or so my interests have moved towards the Crypto/Blockchain/Fintech realm, and acquired 2 Crypto compliance certifications, in March and June of 2021, respectively, although I remain current on all KYC,AML,OFAC and FinCen rules/regulations by subscribing to at least 25 plus websites,industry membership,and editorial boards as an example.  

Soft Skills/EQ 

Passionate 
Eager 
Highy  skilled 
Entrepreneurial 
Self-Starter 
Extreme passion for continuous learning
Growth Mindset
Innovator
Investigative mindset
Expert Communicator 
Advanced leadership and Training skillset 
Superior presentation skills ( both spoken and written ) 
Strong interpersonal skill set. 
Agile 
Self Starter 
Adaptable 
Resilient 

Passionate about all new technologies like Blockchain/Fintech/Crypto, NFT's, DeFi and Web 3.0. 
And most recently am intrigued by AI/ChatGPT

Core competencies : 

CIP/KYC Programs/OFAC/Global Sanctions Regimes/AML/BSA/OFAC Compliance Training/Registration Third-Party Due Diligence/Experience with Global Financial Regulators/USA PATRIOT Act of 2001, Cryptocurrency/Blockchain/Bitcoin/Fintech /Correspondent Banking, Private  Banking, and the Broker Dealer. 

Licenses and Certifications:

Certified Anti-Money Laundering Specialist (CAMS)-2005
Certified Cryptocurrency Investigator (CCI) March 2021
Certification in Crypto Regulation and Financial Crime Compliance (CRFCC)-June 2021

Member of ACAMS,ACSS (Association of Certified Sanctions Specialists), and ACFCS,  Anti-Money Laundering and Sanctions Industry groups 

Fully vaccinated for COVID-19 as of March 2021, and received the COVID booster on October 29th, 2021

Co Genius Associate

I have put together my November "Crypto for Beginners" Newsletter referencing a CNN article on Crypto ATM/Kiosk scams, in addition to referencing a Linked In share from a few weeks ago a la Mathew Hogan.

https://lnkd.in/e99MR3rz a bit of tuning and or governance and monitoring Just saying!!

I don’t believe this entity has been designated an FTO previously.

https://lnkd.in/eAFbzxUe folks i Googled it please note simple common sense?

https://lnkd.in/eh6psYPM so this deepens the intrigue See my previous post folks!

What’s one cause or nonprofit you support and why? Whether you volunteer, donate, or are passionate about raising awareness, your story of giving can inspire others.
Well since today is "Giving Tuesday" in the USA, I would have to say any Non-Profit feeding the hungry!

https://lnkd.in/gMRDgERJ
Courtesy of or friends at Cryptonews the U.S. CFTC approved the first ever spot Crypto trading exchange folks!
Quoting a few portions of the article: 

"For the first time in the United States, spot cryptocurrency trading is set to take place on federally regulated futures exchanges, a step that reshapes how digital assets fit into the country’s financial system." 

"The update was announced on Thursday by Acting Chair of the Commodity Futures Trading Commission (CFTC), Caroline Pham. She said that exchanges registered with the agency will soon be allowed to list spot crypto products, following months of behind-the-scenes coordination among U.S. regulators."

Note this move reflects guidance from the President’s Working Group on Digital Asset Markets.

Cassie Schock is #hiring. Know anyone who might be interested?

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