Market Specialist, Risk & Compliance
Catherine has over 23 years of compliance, risk, audit, and strategy experience in the financial service and insurance industries. She is currently a Market Specialist for the Risk Team at Thomson Reuters with 9 months of service. Catherine currently manages existing client sales for Mid-Market Northeast and South and Regional Central/North East/East territories.
Catherine is the former KYC Policy Officer for Compliance Operations and Head of KYC Advisory for Global Financial Crimes and Compliance at JP Morgan Chase. Catherine’s responsibilities in these roles included participation in the creation of the Global KYC Program, KYC Advisor for North America, EMEA, LATAM, and APAC regions, management of internal audit and regulator examinations, creation of the Politically Exposed Persons and Adverse Media Programs, KYC Compliance Lead for the EDD, Name Screening, and OFAC Programs, and development of KYC quality metrics for the Firm.
Prior to her roles at JP Morgan Chase, Catherine was the board-appointed AML Officer for three legal entities for the Bank of New York Mellon. This role included oversight of the AML Programs for these businesses, SAR approver, high risk client reviewer, creation of targeted AML training programs, creation and execution of AML risk assessments, designated AML Officer for 83 Transfer Agency clients, AML representative for audit and regulator examinations, and Compliance Lead for Name Screening. In this role, Catherine was a 2011 recipient of the BNYM Circle of Excellence Award for Risk & Compliance.
Catherine also served as a Compliance Officer for ING USA. In this role, Catherine managed the activities of the Regulatory Research, Broker-Dealer Agent Investigation, and SEC/FINRA Complaint Teams, in addition to Compliance oversight of the Risk and Strategy Programs.
Finally, Catherine was a Compliance Manager at AIG for thirteen years with a focus on insurance products. In this role, Catherine managed the activities of the Regulatory Review, Customer/Department of Insurance policy filings and complaints, OFAC Program, and State statistical reporting Teams. Catherine also created and executed Compliance Training to AIG offices throughout the United States.
Tailoring the content and application of watch-lists to the organization’s risk profile and appetite Screening unconventional and previously overlooked areas of sanctions risk Identifying potential gaps and inefficiencies in screening controls Lessons learned from recent enforcement actions