Aja Heise
Las Vegas,NV
Summary
Detail-oriented Compliance Officer dedicated to improving policies and procedures in all business areas. Hardworking and driven with quality-focused and proactive approach. Bringing over 9 years of experience in Regulatory Compliance.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Senior Compliance Officer
Stablehouse / XBTO Trading
10.2021 - Current
- Oversee Stablehouse's compliance program, roadmap and strategy
- Own the compliance reporting process for the company, which includes ownership of the statutory duties of the MLRO
- Develop and direct the implementation of compliance and regulatory standards, and best practices for the company
- Articulate and drive the team's requirements for scaling in line with the company's broader business objectives
- Lead and grow the risk & compliance team
- Develop and maintain compliance & risk documentation, policies, guidelines, frameworks, standards, and procedures
- Partner with the relevant business functions to develop product, close business and ensure that customers understand the company's stance on compliance
- Articulate, implement and lead the requirements, mentoring and growth of the compliance team, in collaboration with the executive leadership
- Conduct regular reporting (written and verbal) to executive management, the Board and relevant committees in a clear, concise manner
- Oversee global compliance awareness strategy and programs
- Provide subject matter expertise and guidance on compliance related matters
- Perform assessments of processes, investigations and analysis of compliance related data
Consultant
Aja Heise Consulting
01.2021 - 10.2021
- Provide subject matter expertise and guidance on compliance related matters
- Perform assessments of processes, investigations and analysis of compliance related data
- Lead design, implementation and management of de novo BSA / AML programs specific to novel business verticals
- Partner with clients to develop, implement and update all policies, procedures & processes
- Research emerging business verticals for clients to determine program requirements and analyze risks
- Provide recommendations related to information collected and verified at specific stages of compliance investigations
- Perform risk-based review of prospective clients and vendors
- Assess compliance staffing and issue related recommendations
- Act as a 'second level' reviewer and independent third party for escalated compliance issues or investigations
- Lead implementation and testing of compliance vendor systems
- Advise, assist and complete state and federal licensing for clients, including MSB registration & MTLs
- Perform internal audits and quality checks of client programs and processes
- Provide recommendations related to verification methods of certain information
- Enable clients to stay current with industry best practices, vendors, and guidance related to regulatory compliance
Chief Compliance Officer
Huobi Trust Company
11.2020 - 10.2021
- Design, implement and manage BSA / AML program
- Develop, update and own all policies, procedures & processes
- Built, lead and oversee BSA / AML compliance team
- Partner with internal Technology team to build product features that ensure regulatory compliance and alignment with the firm's BSA program requirements and risk analysis
- Work cross-functionally with all departments to assess and address risks associated with existing & new products
- Design, manage and lead in-house compliance education efforts
- Review, finalize and submit all regulatory filings
- Report to the board and CEO exceptions, updates & developments
- Provide white-glove onboarding, due diligence and review for high-value accounts
- Assist with the implementation and testing of compliance vendor systems
- Provide monthly department metrics package to Senior Management
- Prepare, assist and participate in all firm-wide & department specific audits
- Design and complete enterprise-wide risk assessment to identify and mitigate risks posed to the Trust Company
Consultant
Guidehouse / Navigant
06.2020 - 11.2020
- Perform remediation of foreign correspondent accounts for leading global financial services company
- Responsible for conducting research of financial institution client's customers for regulation adherence, adverse media and risk escalations
- Draft, review and send requests for information to client
- Perform review and cross-check of team member's files
- Review, update and finalize customer risk rating & escalate to management
- Perform customer due diligence and ownership unwrapping
Chief Compliance Officer
Prime Trust, LLC
05.2018 - 03.2020
- Designed, implemented and managed bespoke BSA program around emerging business verticals, such as digital asset custody, trading & remittances
- Developed, implemented and updated all policies, procedures & processes
- Oversaw and lead a ten+ person BSA/AML compliance team
- Researched emerging business verticals to determine program requirements and risk analysis
- Lead and participated in all firm-wide & department specific audits, assessments and testing
- Acted as trusted executive advisor
- Worked cross-functionally with all department to assess and address risks associated with existing & new products
- Managed and lead in-house compliance education efforts
- Reviewed, finalized and submitted all regulatory filings
- Reported to the board and CEO exceptions, updates & developments
- Acted as member of several board & executive committees
- Actively participated in conferences, speaking engagements and other educational industry opportunities to remain current
- Provided white-glove onboarding, due diligence and review for broker-dealers, cryptocurrency exchanges & high-value accounts
Senior Compliance Officer
Prime Trust, LLC
03.2017 - 05.2018
- Responsible for the company BSA/AML program including training, assessments and policies / procedures
- Managed escrow / non-public offering account opening functions while identifying, assessing and mitigating compliance-related risks
- Researched Securities / SEC regulations to determine department requirements and developed procedures
- Completed onboarding and ongoing risk analysis of domestic / international companies, individuals and 3rd parties
- Completed all financial crimes investigations, including the completion of FinCEN filings and investigations
- Performed OFAC/KYC/AML analysis using 3rd party verification tools
- Responsible for 314(a) & (b) process and reporting
- Assisted in regulatory inquiries, internal audits and examinations
Risk & Compliance Analyst II
TSYS Merchant Solutions
02.2015 - 02.2017
- Responsible for training 400 team members, performing assessments, updating AML/BSA policies/procedures and completing annual audits
- Completed onboarding and ongoing risk analysis on national accounts, 3rd Parties and vendors to evaluate the risk and potential compliance/loss exposure to the organization
- Responsible for the compliance and oversight of 19 ISO Partners and 240,000 merchants as outlined by regulatory agencies and Card Associations
- Managed Visa and MasterCard card brand programs
- Managed company audits (FFIEC, SOC, Card Associations, Risk Assessment) and received no findings or graded as low risk
- Performed OFAC/KYC analysis using LexisNexis tool
Education
Business Management -
Kennesaw State University
Skills
- BSA / AML Program Oversight
- Virtual / Digital Assets & Currencies
- Policy & Procedure Implementation
- Risk Assessment / Risk Management
- Regulatory Compliance & Audit
- OFAC & Sanctions Regulations
Certification
Certified Anti-Money Laundering Specialist, ACAMS, 05/18
References
Available Upon Request
Timeline
Senior Compliance Officer
Stablehouse / XBTO Trading
10.2021 - Current
Consultant
Aja Heise Consulting
01.2021 - 10.2021
Chief Compliance Officer
Huobi Trust Company
11.2020 - 10.2021
Consultant
Guidehouse / Navigant
06.2020 - 11.2020
Chief Compliance Officer
Prime Trust, LLC
05.2018 - 03.2020
Senior Compliance Officer
Prime Trust, LLC
03.2017 - 05.2018
Risk & Compliance Analyst II
TSYS Merchant Solutions
02.2015 - 02.2017
Business Management -
Kennesaw State University
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