Anna (Ania) Sokolowska
Denver,CO
Summary
Passionate people leader and seasoned Compliance Executive and Privacy/Product Attorney with compliance, privacy, legal, financial, and operational expertise in financial services (banking, capital markets, credit cards, MSBs, FinTech) Combines unique ability to lead strategic and operational business initiatives with solid knowledge of the legal and regulatory operating environment. Over the span of 20 years managed multitude of global compliance, operational, privacy, legal and strategic programs for clients in the financial and FinTech industries. I thrive in creating operational structures out of ‘big ideas’ and bringing innovation to operational and tactical level. The 3 words most commonly used by my peers to describe me are : tenacious, collaborative and driven.
Overview
25
25
years of professional experience
Work History
Director of Compliance, Head
Zebra, remote Fintech
08.2022 - 07.2023
- Legal, Licensing and Audits ( reporting to SVP of Corporate Operations)
- As a division Executive overseeing several corporate areas I created and executed operational plans for the company’s licensing, audits, compliance and legal programs
- As, of Legal , I reviewed, negotiated and executed all of the company's vendor contracts including a multitude of SaaS and procurement contracts
- Served as Counsel and SME for the global Data Privacy program which has employed multiple privacy compliance frameworks around new and emerging privacy regulations including CPRA, VCDPA, CPA and GDPR
- Served as a Procurement,Assurance and PMO Lead - coordinating vendor risk management reviews and monitoring and technical and licensing internal audits for the company.
Workforce Planning and Finance division leader
Western Union
01.2020 - 08.2022
- For FIU -OAO (Financial Intelligence Unit, Office of Administration and Oversight)
- As leader of Workforce Planning and Finance division of the Office of Administration and Oversight for the FIU, I deliver strategic, change management and agile solutions for talent/work allocation, hiring, staffing and financial discipline for the 500+ group of the FIU
- Collaborate with lines of business to enhance compliance and meet changing legal and regulatory requirements and satisfy business needs
- Create policies for business and staff in complying with applicable regulatory requirements and internal policies and procedures
- Serve as subject matter expert to lines of business to determine compliance requirements in products and address existing and emerging compliance risks
- Consistently influence decision-making and push the company forward cross-functionally in compliance/regulatory areas of strategic importance, translate company strategic goals into clearly defined processes and initiatives that support cross-functional objectives.
Senior Advisor
Western Union, FIU GS
10.2016 - 01.2020
- Intelligence Unit and Global Security) VP
- As Senior Advisor to the Global FIU GS VP worked to simplify the risk, legal and regulatory requirements to improve efficiency of operations across the Global FIU GS organization – e.g
- Designing better functionality and back-end reporting that enhanced the VP’s visibility and allowed for simpler processes for the 500+ team significantly improving efficiency and speed of delivery and tracking
- Partnered with risk, compliance and business leaders on global enterprise initiatives and projects e.g
- Delivered a Framework tool that combined several, diverse internal and external risk sources to assign priorities for law enforcement outreach and risk reviews of agents, corridors and typologies consolidating priorities for investigative and outreach work for the entire organization
- Also, in this role, regularly reported on the key activities within the program and escalated gaps and concerns to various risk committees
- Additionally, lead financial, procurement, hiring and reporting functions for the 500+ person group.
Leader
Western Union
12.2013 - 10.2016
- Strategic Intelligence Unit, assistance on Privacy Team, assistance on OFAC Sanctions team Leadership of FIU’s efforts in intelligence assessments and investigations globally:
- Led regional MEAAPAC Office of Strategic Intelligence team and products’ delivery (based in Dubai)
- Delivered intelligence products for higher risk countries, corridors and typologies including Terror Finance assessments, Drug Trafficking, Offshore Gambling, Human Smuggling and Human Trafficking assessments
- Managed various sized project teams of intelligence analysts and investigators
- Coordinated with WU’s internal and external stakeholders including regional Global Field Organization, Fraud Risk Management, law enforcement and regulators on FIU’s products’ delivery and dissemination
- Led multiple initiatives with business partners and agents on Culture of Compliance – delivering trainings and C-level executives’ presentations and conferences In this role also assisted Global Privacy team in reviews of business requirements documents (BRDs) for new digital products, new vendors and/or deployments of existing products in new regions/countries (delivering product risk assessments and approvals and testing of new products.) Delivered RDRs and CDDs reviews/ approvals
- Participated in CLIPR reviews and wu.com/digital product (FinTech) expansion forums
- Assisted Government Sanctions and Investigations team in researching and drafting OFAC responses;
Fraud and Compliance Manager
PriceWaterhouseCoopers
03.2013 - 08.2013
- (UAE, Saudi Arabia, Led fraud and regulatory compliance and risk assessments for Saudi, Qatar and UAE based financial clients (Banking and SWFs)
- Delivered multitude of policies and procedures (codes of conduct, fraud control policies, investigation and whistleblowing policies and mechanisms.)
Owner
Anna Sokolowska and Associates, PLLC
10.2008 - 12.2012
- I owned and ran my own professional services firm specializing in compliance and legal advisory services for large and midsize financial market players
- The following are some of my most important clients:
- MyCheckfree.com (subdivision of Fiserv, global online payment technology provider)
Forensics’ Manager
Deloitte and Touché, KPMG
11.2007 - 09.2008
- Left due to closure of Forensics Department in Abu Dhabi
- Left UAE back to the US for family reasons
- Led multiple compliance and fraud investigations for several UAE based investment and financial clients.
PMO Manager
Ernst and Young, LLC
11.2006 - 08.2007
- Left due to family move to Abu Dhabi, UAE
- Developed and led a large-scale transformation program for a banking client that included management of 80+ simultaneous projects for the client.
Assistant Attorney
Shore Chan Bragalone, LLP
02.2006 - 08.2006
- Left due to family move to Kuwait
- Led and coordinated delivery of several court briefs and various other court responses for clients in technical/software patent litigation area
- Patent mining and patent prosecution support.
Business Development Director, Team Lead/Project Manager, Technical Writer
DMB Consulting Group
11.2001 - 02.2006
- Left to pursue career in law
- Led teams of senior executives in sales, marketing, software development and customer support to deliver strategic initiatives to multitude of clients including Visa, USA and various banking institutions.
Senior Consultant
Andersen Consulting
01.1999 - 11.2001
- Left to join a client team Led technical and business teams on several consulting engagements for Fortune 500 clients
Education
Juris Doctor -
Southern Methodist University, Dedman School of Law
Bachelor of Business Administration - Information Systems, Computer Science
Loyola University Chicago
undefined
EU Law school at Jagiellonian University
2009
Skills
- Hiring, Building and Leading large, diverse, global legal, compliance, security teams
- Managing Compliance and Legal teams across multiple countries and jurisdictions
- Leading AML/CTF programs, program compliance
- AML monitoring and controls testing
- Ethics policies and program implementation
- Collaboration with stakeholders across the entire organization from product through engineering to legal
- Global AML regulations (mapping, risk registers, mitigation)
- MSB Licensing and Regulatory Examinations
- Audit and Exam Management
- Global Privacy regulations/compliance reviews including DPIAs
- DSAR tool implementations
- Global internal and external Policies and Procedures including AML investigation, Whistleblowing, Fraud Control, Code of Conduct/Ethics policies
- Risk and Compliance Innovation and Continuous Improvement
- Banking, MSBs, credit/pre-paid cards, Sovereign Wealth Funds, Stock exchanges, FinTech
Timeline
Director of Compliance, Head
Zebra, remote Fintech
08.2022 - 07.2023
Workforce Planning and Finance division leader
Western Union
01.2020 - 08.2022
Senior Advisor
Western Union, FIU GS
10.2016 - 01.2020
Leader
Western Union
12.2013 - 10.2016
Fraud and Compliance Manager
PriceWaterhouseCoopers
03.2013 - 08.2013
Owner
Anna Sokolowska and Associates, PLLC
10.2008 - 12.2012
Forensics’ Manager
Deloitte and Touché, KPMG
11.2007 - 09.2008
PMO Manager
Ernst and Young, LLC
11.2006 - 08.2007
Assistant Attorney
Shore Chan Bragalone, LLP
02.2006 - 08.2006
Business Development Director, Team Lead/Project Manager, Technical Writer
DMB Consulting Group
11.2001 - 02.2006
Senior Consultant
Andersen Consulting
01.1999 - 11.2001
Juris Doctor -
Southern Methodist University, Dedman School of Law
Bachelor of Business Administration - Information Systems, Computer Science
Loyola University Chicago
undefined
EU Law school at Jagiellonian University