Deka Aden
Columbus
Summary
A results-oriented and highly skilled Compliance and Investment Management professional with over 10 years of experience across financial services, risk management, and regulatory compliance. Proven track record of driving compliance initiatives, conducting audits, and implementing corrective actions within fast-paced environments. Extensive experience managing international investment funds, facilitating SME financing, and conducting due diligence to ensure regulatory adherence. Strong background in financial analysis, risk assessments, and training staff to uphold compliance standards. Adept at building and maintaining relationships with clients, vendors, and regulatory agencies to ensure smooth operations and successful project outcomes. Highly proficient in Microsoft Office Suite and known for delivering results with a keen attention to detail and the ability to manage multiple projects independently.
Overview
16
16
years of professional experience
Work History
Compliance Manager
Aziza Medical Transportation LLC
01.2023 - Current
- Conduct regular audits and risk assessments to identify compliance gaps and implement corrective actions
- Enforce compliance policies and procedures for non-medical transportation, ensuring alignment with local, state, and federal regulations
- Collaborate with operational teams to deliver training on compliance protocols, safety regulations, and best practices
- Maintained records of compliance training and certifications for staff, ensuring all personnel were up to date on necessary requirements
- Develop and maintain relationships with key stakeholders, including clients, vendors, and regulatory agencies
- Coordinated transportation schedules for clients, ensuring timely pickups and drop-offs
- Monitored transportation operations to ensure compliance with safety regulations and industry standards, conducting inspections and assessments as needed
- Engaged with regulatory agencies during inspections and audits, providing documentation and support to ensure positive outcomes
Sr. Investment Manager
One Earth Future Foundation
01.2018 - 04.2023
- Facilitated a 30-million multi-year international impact fund targeting investment in East African SMEs
- Prepared and presented monthly investment proposals to the Investment Committee for financing SMEs directly
- Lead negotiations and liaise between investors and applicants to resolve concerns
- Conduct market research of business sectors in the country with limited information available
- Encourage businesses to adopt renewable energy alternatives
- Conduct due diligence reviews of applicants’ organization and operational capacity for an investment loan
- Ensure applicants comply with AML regulations and OFAC sanctions by performing background checks
- Lead financial analysis to ensure business models are viable and the business is ready for financing
- Work across programs to collaborate on projects and improve the organization’s processes
- Communicate with in-country lawyers to ensure deal structures adhere to the organization’s internal guidelines and the country’s legal requirements
- Conduct an ESG assessment of the applicant’s business operations to identify risk areas
- Convey and set action plans for applicants to mitigate risks
- Monitor loan repayment data, client quarterly report submissions, procurement deadlines, and project-related activities
- Assist with fund reporting for investors
- Led loan agreement drafting, wire process, and loan settlements during the initial stages of the fund
Risk Review Associate
Morgan Stanley Wealth Management
01.2014 - 01.2018
- Reviewed international wires, tax payments, and daily securities movements within Morgan Stanley
- Ensured TEFRA codes and margin requirements were met in client portfolios
- Reviewed security sales and settlements
- Addressed AML concerns regarding monetary movements and reviewed account documents submitted by branch associates for approval
- Applied Firm verification policies for all clients to avoid identity theft and fraudulent activity
- Ensured that client liquidation requests adhered to the portfolios’ suitability
- Updated on current SEC/FINRA and company procedural guidelines to mitigate transactional risks
- Participated in projects and/or remediation efforts as needed including pilot programs
- Trained new hires and led weekly team meetings
- Analyzed weekly reports of rejected ACATs, DTCC, and DRS
- Researched and present new findings of daily branch activities that raised concerns to the Risk Officer
Service Professional
Morgan Stanley Smith Barney
01.2010 - 01.2011
- Handled a wide array of business functions in a fast-paced environment
- Point of contact for MSSB clients and financial advisors
- Answered inquiries involving client portfolios including banking and lending, mutual funds, retirement accounts
- Provided daily stock market news, quotes, and assisted clients with technical support
- Conveyed resolutions to inquiries submitted by MSSB clients and financial advisors through inbound/outbound calls
- Worked directly with financial advisors and branch management to provide clients with world class service
Loss Mitigation Specialist
JP Morgan Chase
01.2009 - 01.2010
- Analyzed credit reports and financial data to ensure underwriting requirements were met
- Evaluated foreclosed loans to determine it was processed according to internal requirements
- Assisted clients with understanding loan applications and repayment options
- Gathered client financial information and hardship letters concerning property conditions and workout measures
- Performed database query searches to resolve pending items
- Assisted homeowners’ department managers to ensure all daily functions were met
Education
Bachelor of Arts - International Studies, Economics
The Ohio State University
01.2012
Skills
- Proficient in Microsoft Office
- Ability to multitask
- Ability to perform in a fast-paced environment
- Knowledge of financial industry regulations
- Knowledge of financial products
- Understanding of statements
- Strong attention to detail
- Ability to lead projects
- Compliance monitoring
- Staff training
- Corporate governance
- Process development
- Document reviews
- Internal auditing support
- Risk assessment
- Risk analysis
- Know your customer
- Anti-money laundering
- Analytical thinking
- Influencing skills
- Regulatory standards
- EGS analysis
- Process management
- Ethics management
- Customer due diligence
- Sanctions screening
- Program implementation
- Teamwork and collaboration
- Attention to detail
- Excellent communication
- Team leadership
- Relationship building
- Conflict resolution
Timeline
Compliance Manager
Aziza Medical Transportation LLC
01.2023 - Current
Sr. Investment Manager
One Earth Future Foundation
01.2018 - 04.2023
Risk Review Associate
Morgan Stanley Wealth Management
01.2014 - 01.2018
Service Professional
Morgan Stanley Smith Barney
01.2010 - 01.2011
Loss Mitigation Specialist
JP Morgan Chase
01.2009 - 01.2010
Bachelor of Arts - International Studies, Economics
The Ohio State University
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