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Compliance Officer

Ridgefield, CT

Work Experience

Compliance Officer



Credit ratings agency for over 170,000 corporate, government, and structured finance securities. Agency also provides research data and analytic tools for assessing credit risk, and publishes market-leading credit opinions, deal research and commentary, serving more than 9,300 customer accounts at some 2,400 institutions around the globe.
  • Support all aspects of daily legal and compliance needs for ~4000 Moody's employees across Moody's Investors Service.
  • Lead Global Regulatory Reporting Team, insuring the timely filing of reports in all markets that MIS operates.
  • Evaluate, analyze and report out on recently enacted EU and US legislation (i.e. Dodd-Frank), requiring the registration, certification and endorsement of credit ratings agencies.
  • Conduct internal investigations regarding potential violations of the Securities Trading Policy, the Code of Conduct and other policies and procedures.
  • Design monitoring and surveillance protocols to review and assess the effectiveness of internal controls (e.g. OFAC, Conflicts of Interest and Outsourcing). Develop and implement remediation plans.
  • Ensure that the business has appropriate policies and procedures in place. Assess, design and drive completion of necessary upgrades, updates and new policies in response to regulatory drivers, other external drivers and business changes.
  • Design and lead new hire training and company-wide training initiatives on new and/or updated corporate policies and procedures.
  • Lead compliance initiatives to implement new regulatory requirements for greater transparency and avoidance or mitigation of conflicts of interest in the credit rating process.
Key projects included: o Planned and coordinated cross-functional initiative to add additional functionality to securities trading system to track employee holdings and transactions.
o Collection and updating of securities trading system containing employee records of securities holdings and transactions.
o Ensure that the business has appropriate policies and procedures in place. Assess, design and drive completion of necessary upgrades, updates and new policies in response to regulatory drivers, other external drivers and business changes.
o Provided business specifications and led development for new conflict of interest self-certification process for analysts prior to the commencement of a credit ratings action. Engaged in monitoring and additional development of electronic tool.
o Led the development, implementation, delivery and reporting of results for Moody's annual conflicts of interest survey.
o Assisted in the drafting, preparation and filing of Moody's registration application and Transparency Report before EU regulator and Form NRSRO before the SEC.

Compliance Officer


2007 2009

Supported legal and compliance needs of the real estate financial services business across North America; included debt, equity, banking and investment activities. Planned and implemented key transactional initiatives. Conducted AML-KYC due diligence investigations. Collaborated with Compliance Officer Network representatives on specific integrity issues and concerns such as Improper Payments to third Party Suppliers, Fair Employment Practices, Conflicts of Interest, Data Privacy and Security, Document and Records Management and Prevention of Insider Trading.

Major Contributions:
  • Implemented and oversaw key initiatives in AML-KYC due diligence across GE Capital, including the digitization of processes surrounding risk indicators, frauds, fines, transaction monitoring, the filing of suspicious activity reports (SAR) and the reporting to management of significant issues/trends.
  • Directed quarterly Policy Compliance Review Board (PCRB) meetings for senior leadership to address key concerns and upcoming trends, review training metrics and audit results, and discuss potential policy modifications.
  • Monitored and evaluated compliance programs through self-assessments and internal investigations/audits, leading to deficiency findings and appropriate remediation plans
  • Identified potential areas of compliance vulnerability and risk, developed and implemented corrective project plans for resolution of problematic issues.
  • Led AML-KYC regulatory certification process for on boarding of banking affiliate to GE Capital Financial Inc. in compliance with Patriot Act, BSA, OFAC Sanctions, Reg O and Reg W.
  • Improved proactiveness of risk assessments and resource allocations by creating Early Warning System to compile multiple sources' input on new or pending regulatory legislation and reforms.
  • Evaluated, analyzed and reported out to Senior Leadership on federal legislative and regulatory proposals, meeting with government officials and industry trade associations, as a member of Government Operations Team.
  • Optimized the deal approval process, developing and implementing new AML-KYC, transaction monitoring and third party process improvements.
  • Identified potential areas of compliance vulnerability and risk, developed and implemented corrective action plans for resolution of problematic issues.
  • Cultivated organization-wide knowledge of broad range of legal issues, developing and chairing training and focus groups, online training, FAQs, and sales guidelines.


2005 2009

Financial services unit of +$182.5B multinational technology and services conglomerate.

Project Manager


2005 2007

Coordinated and led ~25 projects and strategic initiatives across GE Capital platform holding +$335B in assets, and playing role in +35 countries. Oversaw selection, implementation, and maintenance of new software in compliance with AML-KYC policies. Ensured 100% adherence to project plans, budgets, and deliverable objectives. Identified and removed any obstacles creating delay in project progress. Interfaced with and presented before key stakeholders and project sponsors, detailing project scope, timelines, major milestones, and status.

Major Contributions:
  • Orchestrated successful completion of ~25 major $10 to 100K initiatives in 2 years.
  • Led development of unique cross-business Legal Entity Database (LED) tool used globally for corporate governance to maintain and update status of tens of thousands of business names.
  • Promoted market growth, strengthened risk management abilities, and fostered competitive pricing, developing intranet sites for Finance, Marketing, and Legal & Compliance groups.
  • Extended and maintained capabilities of internal litigation management system.
  • Oversaw AML-KYC software implementation, maintenance and enhancement across GE Capital for multiple instances of Lexis Nexis' Bridger Insight and Thomson Reuters Complinet.


Project Manager - Online Services

AHA GROUP, INC, Stamford, CT

2000 2005

  • Oversaw development and administration of three membership-based websites offering discounted home services, travel and health benefit discounts, and information for homebuyers.
  • Collaborated with Marketing, Sales, Business Development, HR, and Customer Service departments on development of new applications and related compliance ramifications.
  • Implemented information management compliance program including preparation of policies regarding data retention, data security, and privacy.

Associate Attorney


1998 2000

  • Specialized in obtaining most favorable duty rate through classification of textiles, garments, apparel, and various other goods under Harmonized Tariff System of US (HTSUS).

Judicial Law Clerk, Judge Thomas J. Aquilino, Jr


1996 1998

  • Drafted judicial decisions and memoranda of law on matters before the court including anti-dumping duties, countervailing duties and classification of goods by the U.S. Customs Service.

Associate Attorney


1995 1995

Civil Litigation

Associate Attorney

HOLM & O'HARA, LLP, New York, NY

1994 1994

Labor Law, ERISA, Litigation



Washington College of Law, The American University,


Law Review

The American Univ,

B.A. in History

Binghamton University, Binghamton, NY

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