Intellex Acquires Expert by Big Village

We're thrilled to announce that Intellex has acquired Expert by Big Village, effective March 22, 2024. This strategic move enhances our capabilities and strengthens our commitment to delivering exceptional solutions to our customers.

Stay tuned for more updates on how this acquisition will benefit our clients and experts.

For inquiries or more information, please contact us at info@intellex.com.

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Expert Details

Regulatory Compliance

ID: 737732 Virginia, USA

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Highly organized analytical professional with superior goal setting, project managing, decision-making, and problem-solving skills. Solid reputation for having a positive impact on both internal and external support and overall productivity. Adept at identification and investigation of suspicious activity, identifying potential risks, regulatory issues, compliance-related issues, and making recommendations for how to mitigate or avoid risk-related issues. Strong ability to identify, develop and sustain a network of people and other resources for tasks. Able to execute strategic initiatives in a methodical approach. Educational experience includes a Juris Doctor, Master of Business Administration, and a Bachelor of Science in Political Science, Pre-Law.

Education

Year Degree Subject Institution
Year: 3 Degree: Juris Doctor Subject: Law Institution: University of Baltimore School of Law
Year: 1 Degree: MBA Subject: Finance Institution: Strayer University
Year: 2 Degree: BS Subject: Political Science Institution: Florida A&M University

Work History

Years Employer Title Department
Years: 2021 to Present Employer: Undisclosed Title: Director Department: Wealth Management
Responsibilities:
- Perform independent review, re-performance and trend analysis of accounts, clients and Financial Advisors identified by supervisory alerts
- Recommend corrective action plans to rectify substantial sales practice and suitability issues identified through re-performance
- Provide advice and guidance on Compliance policies, securities regulations and suitability issues to the Complex and Regional Risk Officers
- Develop and conduct training on supervisory reviews and other Compliance related issues for Complex and Regional Risk Officers
- Identify Complex/Regional issues through the analysis and assessment of metrics, key performance indicators and other tools
- Evaluate trading activity for clients and Financial Advisors to identify potential insider trading and/or market manipulation
- Identify, escalate, and act upon significant risks/themes identified through the course of monitoring
Years Employer Title Department
Years: 2019 to 2021 Employer: FINRA Title: Senior Market Regulation Analyst Department: Market Regulation
Responsibilities:
- Audited and analyzed Blue Sheet, OATS data, trade confirmations, order routing, WSPs, trade data and special-order handling instructions
- Corresponded with broker-dealer and advisory firms compliance personnel via interviews, Firm Gateway, email regarding in house surveillance and compliance processes and procedures
- Liaised with leadership regarding violations of federal securities laws, FINRA, and MSRB regulations
- Reviewed and analyzed HFT algorithmic market manipulation trading via various threat scenarios
- Presented investigative findings to senior leadership in clear/concise manner and recommend further actions and effective escalations to the Security Exchange Commission (SEC)
- Participated in special projects including firm surveillance, firm cautionary plans, and supervision cases
- Ensured regulatory programs serve departmental goals and mission in an efficient and effective manner
- Leveraged superior project management skills to track progress of examinations, regulatory reviews, and update Enforcement, internal and external business units, and member firms as necessary
- Developed and maintained a task-level project plan with resource assignments in order to track and report status on examinations and investigations in an accurate and timely manner
Years Employer Title Department
Years: 2015 to 2019 Employer: United Bank Title: Enhanced Due Diligence Specialist Department: Risk Management
Responsibilities:
- Planned and managed of due diligence investigations from inception of compliance lifecycle through transactional analysis, testing, lookbacks, and research of applicable regulations to evaluate, identify, and mitigate high risk customer activity, including sanctions involvement with Office of Foreign Assets Control (OFAC) regulatory agency
- Conducted enhanced due diligence through performing transactional analysis, investigations, testing, and research of applicable regulations to evaluate, identify, and mitigate high risk customer activity, including sanctions involvement with Office of Foreign Assets Control (OFAC) regulatory agency
- Led project-based efforts within Financial Crime Compliance program, including the development and creation of policies, best practices, compliance reviews, risk assessments, and project management
- Liaised and collaborated with Business Officers, Compliance, Management, Legal and other business units to obtain necessary information and follow-up of high-risk customers
- Filed Suspicious Activity Reports (SAR) filings with regulatory agencies
- Remediation of AML program from Matters Requiring Attention (MRA) from examinations findings through sound decision making to correspond to business unit’s needs and regulatory standards

Career Accomplishments

Licenses / Certifications
Real Estate -4 years
Insurance Adjuster (All Lines) - 12 years

Language Skills

Language Proficiency
Haitian Creole

Fields of Expertise

finance, compliance, Compliance Audits, compliance program, Financial Industry Regulatory Authority, risk management, project management, Legal and Law, Legal Compliance Investigations, legal writing, legal research, insurance

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