Arthur Bassett
Details
Accounting
Bryant University
1990 : 1993
Fidelity Investments
Principal, Cybersecurity Consultant
2014 : 2021
Fidelity Investments
Senior Technology Risk Analyst
• Provide 2nd line of defense audits of various business unit functions to locate gaps in regulatory processes.
• Execute audit reviews within the larger enterprise compliance plan.
• Monitor and ensure compliance with OCC MOU orders.
2014 : 2014
Citizens Financial Group, Inc.
Sr. Compliance Assurance Officer
• Work onsite with business unit contacts to assess compliance processes and identify potential deficiencies
• Perform assessments of effectiveness of controls through data analysis, observation and executing interviews with colleagues within the business.
• Define recommendations for Sr. Management as to effectiveness of controls and resolutions for deficiencies that may directly impact the operational activities of the assigned business lines.
• Assess and provide direction on compliance assurance for all assigned business lines within RBS CFG as it relates to external regulatory requirements.
2012 : 2014
Citizens Bank
Compliance Assurance Officer
Daily supervision of a fast paced AML Sanctions Team performing client screening and ad hoc reporting. Providing guidance to colleagues within the AML operations group as to best practices.
Participation on group projects and oversight of operational standards as well as documentation of those standards in preparation of internal and external auditors .
2012 : 2012
Royal Bank of Scotland
OFAC/AML Compliance Analyst III - Supervisor
Skills
AML, AML/OFAC Operations, Analysis, Anti Money Laundering, Auditing, Banking, Business Analysis, Business Process Improvement, Contract Negotiation, Enterprise Compliance, Finance, Financial Risk, Internal Audit, Investments, KYC, Management, Mutual Funds, Operational Risk, Process Documentation & Improvement, Process Improvement, Project Management, Regulations, Regulatory Oversight, Risk Management, Vendor Management
About
More than 20 years experience in financial services excelling in risk and compliance roles with a thorough understanding of current issues and trends. I have several years audit experience and most recently have been gaining experience performing systems/controls assessments.
Specialties: General Risk/Compliance, Regulatory Compliance including analytics, AML/OFAC Operations Compliance, CIP and KYC, Offshore Mutual Funds, Negotiation, Fund Distribution, Broker Dealer Compliance, Comingled Pools, Retirement Administration
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