ANNA OLIVEIRA GONZALEZ
Operational Risk Vice President
New York,NY
Summary
Experienced Vice-President with over 10 years of experience in the banking/finance industry. Excellent reputation for resolving problems and providing meaningful guidance for the business supported. Expert knowledge of regulatory and supervisory requirements and corporate policies and procedures. Proven leader who improves business performance through identifying, analyzing, and implementing solutions to enhance processes and quality which ultimately improves the client experience.
Overview
11
11
years of professional experience
Work History
Wealth Management - Risk & Control Vice President
J.P. MORGAN CHASE & CO
New York, New York
11.2018 - Current
- Lead projects for Wealth Management; such as New Business Initiative Approval (NBIA), New Regulation Notifications (REN), Control and Operational Risk Evaluation (CORE), Cross Border, and Policies & Procedure mapping and enhancements.
- Provide Risk & Control related subject matter expertise for relevant projects driven inside the organization by collaborating with control colleagues across the firm, Business, Legal, Compliance, Audit, Regulators and Technology partners.
- Provide expertise on policy/standard/procedure governance requirements
- Conduct focused deep dives in order to underline patterns and opportunities to improve the risk and control environment.
- Engage with Global Regulatory Monitoring Team to identify procedural changes in the International Private Bank validating New Regulatory Events.
- Create and review detailed materials for senior executive presentations
Wealth Management - AML Senior Associate
J.P. MORGAN CHASE & CO
New York, NY
03.2017 - 11.2018
- Verified all aspects of Client Identification Program (CIP) and account opening documents were provided in accordance with Know Your Costumer (KYC), USA Patriot Act, and Bank Secrecy Act (BSA).
- Identified accurate risk rating for individual/non-individual accounts to highlight high risk jurisdictions, cash intensive, high risk business and Politically Exposed Persons (PEPs) or Relatives or Close Associates (RCAs).
- Reviewed and completed due diligence investigations using public and private database in accordance with Anti-Money Laundering (AML), BSA and other regulatory standards to assist business, compliance, risk and control functions.
- Supported the implementation of procedures/standards/job aid and documentation of key KYC/AML controls.
- Initiated projects for AML procedural consistency and enhancements.
Legal Project Associate
POMERANTZ LLP
New York, NY
07.2015 - 07.2016
- Advised attorneys on Brazilian discovery procedures and assisted in gathering of testimony and documents of plaintiff's class action securities litigation.
- Conducted legal research and conferred with colleagues with subject matter expertise to develop strategies and arguments in preparation for presentation of cases.
- Assessed cases for probable outcomes by researching black letter law and other legal authority, comparing fact patterns to those of precedential cases.
- Prepared briefs and legal memoranda on Brazilian civil procedure and laws of evidence.
- Participated in and reviewed documents for depositions.
Business Development Associate
MARKETS GROUP LLC
New York, NY
03.2013 - 07.2015
- Built relationships with multiple partners: private equity firms, pension funds, financial advisers, auditors, funds of funds, family offices.
- Supported private equity managers seeking to raise capital from Latin American and international institutional investors for direct investment in Latin America.
- Pitched plans and investment strategies to potential partners to raise capital.
- Planned marketing initiatives and leveraged referral networks to promote business development.
Legal Associate
DINÂMICA SERVIÇOS LTDA
Brasilia, Brazil, Brazil
03.2009 - 12.2011
- Assured documents and actions, especially administrative contracts and bids were in compliance with state and federal labor and tax law.
- Reviewed and evaluated business contract, agreements and documents relating to tax, labor relations, and government contracts.
- Drafted agreements, contracts and other legal documents.
- Monitored state and federal regulations to keep company up to date with changing laws.
- Worked with management and staff to resolve pre-litigation dispute.
Education
LL.M: BANKING, CORPORATE, AND FINANCE LAW -
Fordham University School of Law
New York, NY05.2016
Master in Law (Civil Law) -
EMAGIS/DF – Escola Da Magistratura De Brasilia
Brasilia, DF12.2010
J.D: BACHAREL EM DIREITO (FIVE-YEAR LAW DEGREE) -
UPIS
Brasilia, DF12.2009
Skills
- Regulatory compliance
- Wealth Management
- Risk & Controls management
- Project management
- Cross Border
- KYC/AML
- Policies and procedures
- Governance
Licensed Attorney
- New York (2017)
- Brazil (2010)
Timeline
Wealth Management - Risk & Control Vice President
J.P. MORGAN CHASE & CO
11.2018 - Current
Wealth Management - AML Senior Associate
J.P. MORGAN CHASE & CO
03.2017 - 11.2018
Legal Project Associate
POMERANTZ LLP
07.2015 - 07.2016
Business Development Associate
MARKETS GROUP LLC
03.2013 - 07.2015
Legal Associate
DINÂMICA SERVIÇOS LTDA
03.2009 - 12.2011
LL.M: BANKING, CORPORATE, AND FINANCE LAW -
Fordham University School of Law
Master in Law (Civil Law) -
EMAGIS/DF – Escola Da Magistratura De Brasilia
J.D: BACHAREL EM DIREITO (FIVE-YEAR LAW DEGREE) -
UPIS