Dave Shiwdin
101-21 109th Street Richmond Hill,NY
Summary
Detail-oriented Compliance Professional with hands-on experience in developing regulatory governance programs as well as proactively serving as a liaison with both local and federal regulatory agencies. Offering exceptional risk assessment and management skills. Adept at analyzing operations for enhancements and developing corrective action plans. Effective at managing the expectations of local and federal regulators.
Overview
6
6
years of professional experience
Work History
Compliance Testing Manager
Scotiabank
10.2022 - Current
- Support Compliance Testing Program in scoping and conducting reviews specifically for the Global Banking and Markets division inclusive of broker dealer entities based upon regulatory requirements, processes, policies, procedures to assess controls within the first and second lines of defense.
- Understand applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations.
- Subject matter expert in FINRA related reviews including but not limited to Supervision FINRA 3110 reviews and Employee Compliance reviews FINRA 3210 Personal Trading , 3270 OBA and 3280 PST .
- Ensure that stakeholders respond with appropriate action to address all draft recommendations and deficiencies noted during the fieldwork process.
Associate Principal Examiner
Financial Industry Regulatory Authority
09.2021 - 10.2022
- Assigned to Retail Digital Asset review team, reviewing applications that have a Digital Asset touch point.
- Mentors and trains junior staff on all aspects of FINRA reviews.
- Prepares and presents comprehensive reports to upper management, advisory committees and risk teams, covering change management issues and recommendations.
Senior Examiner
Financial Industry Regulatory Authority
06.2020 - 09.2021
- Conduct and organize examinations on broker dealer new membership and continuing membership applications for compliance with SEC and FINRA rules and regulations.
- Review and analyze Firm's WSPs, financial data, proposed personnel, LOBs, and other data, for compliance with FINRA and SEC rules and regulations.
- Perform legal review of corporate documents, business agreements, and other business documents to ensure compliance with FINRA and SEC rules.
OFAC Sanctions Remediation Project Manager
Société Générale
11.2019 - 03.2020
- Oversaw, coordinated and reviewed regulatory examinations to ensure the global OFAC Sanctions team proactively addresses regulatory requests and concerns.
- Ensured all prior remedial action commitments to regulators are completed timely by OFAC Sanctions compliance teams within the Americas region.
Quality Assurance Process Manager
Société Générale
04.2019 - 11.2019
- Managed the quality assurance process on behalf of executive management oversight committees.
- Created regulatory documentation such as responses to Cease & Desist orders, Memorandums of Understanding, MRA's, MRIA's and other supervisory issues.
- Oversaw the development of the quality assurance processes for KYC, Reg W, and Liquidity Risk Management.
COO Compliance Analyst
Société Générale
03.2018 - 03.2019
- Provided extensive support to the COO of Compliance ensuring that internal staff and affiliates are compliant with SEC regulations, in particular BD, MA and REG W.
- Governed and redeveloped annual process to maintain 1,447 legal entities for BD, MA and REG W regulatory filings for the SEC on SEC EDGAR and Gateway platforms.
Education
Juris Doctor - Criminal and Corporate Law
Tulane University Law School
New Orleans, Louisiana12.2017
Bachelor of Arts - Criminal Justice
John Jay College of Criminal Justice
New York, New York06.2011
Timeline
Compliance Testing Manager
Scotiabank
10.2022 - Current
Associate Principal Examiner
Financial Industry Regulatory Authority
09.2021 - 10.2022
Senior Examiner
Financial Industry Regulatory Authority
06.2020 - 09.2021
OFAC Sanctions Remediation Project Manager
Société Générale
11.2019 - 03.2020
Quality Assurance Process Manager
Société Générale
04.2019 - 11.2019
COO Compliance Analyst
Société Générale
03.2018 - 03.2019
Juris Doctor - Criminal and Corporate Law
Tulane University Law School
Bachelor of Arts - Criminal Justice
John Jay College of Criminal Justice
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