Reyna de Vries
Summary
Results-oriented compliance director with expertise in developing and executing compliance programs. Skilled in training and policy management, contributing to enhanced adherence and risk mitigation in financial services across APAC, EMEA, and UAE regions.
Overview
21
21
years of professional experience
1
1
Certification
Work History
Acting Director Compliance Independent Assessment Wealth APAC, EMEA & UAE
CITIBANK N.A.
Singapore
12.2023 - 10.2024
- Contributed to Singapore's Independent Compliance Risk Management leadership team.
- Executed final-stage review approvals, ensuring identification and mitigation of valid issues.
- Participated in compliance risk committees for Singapore and Hong Kong.
- Advocated with business partners to address first line of defense concerns.
- Served as Material Risk Personnel for Monetary Authority of Singapore, providing input on Compliance Independent Assessment plan.
Senior Vice President, Compliance Independent Assessment Wealth APAC, EMEA & UAE
CITIBANK N.A.
Singapore
02.2022 - 10.2024
- Led compliance testing initiatives and served as review testing manager.
- Engaged stakeholders and collaborated with testing team on scope and planning.
- Developed solutions and remediation for identified findings.
- Mitigated risks associated with identified issues.
- Collaborated across audit, compliance, and risk assessments to identify process gaps.
- Managed team of compliance associates conducting reviews across APAC, EMEA, and UAE.
- Conducted on-site bank examinations to evaluate adherence to banking regulations.
Compliance Consultant
UNICORN CONSULTING LLC
Singapore, Singapore
01.2020 - 02.2022
- Facilitated compliance initiatives at Prosper Marketplace to strengthen policy adherence.
- Performed extensive audits, pinpointing and addressing potential compliance gaps.
- Designed and implemented training modules to educate employees on compliance issues.
- Reviewed and updated internal policies in response to evolving regulatory landscapes.
Compliance Director
PROSPER MARKETPLACE
San Francisco, USA
08.2017 - 02.2022
- Ensured adherence to financial statutes including TILA, ECOA, and UDAAP by leading compliance specialists.
- Liaised with third parties and regulators for effective management of compliance audits.
- Oversaw Marketing, Complaints, Testing, and Monitoring components of Compliance Management System.
- Devised solutions and implemented strategies to enhance business compliance processes.
- Collaborated with business lines to manage compliance programs and effectively mitigate risks.
- Conducted risk assessments and developed policies to align with regulatory standards.
- Identified issues and managed remediation efforts, assessing consumer impact and reporting outcomes.
- Made critical decisions regarding regulation interpretations and business processes to ensure compliance.
Financial Crimes Compliance (FCC) Manager, Latin America
GE CAPITAL CORPORATION
Chicago, USA
12.2013 - 11.2016
- Directed fraud prevention and detection efforts, focusing on resolution and reporting.
- Managed Mexico-based team of AML Analysts as a member of AML committee.
- Advised senior leaders on suspicious activity and compliance with regulations.
- Reviewed and approved business deals, ensuring adherence to regulatory and GE AML standards.
- Delivered AML training to foster a culture of compliance and integrity.
Compliance Manager
STATETRUST INVESTMENTS
Miami, USA
01.2011 - 08.2012
- Oversaw compliance and cash management operations for boutique broker-dealer servicing high net-worth clients.
- Managed audits and inquiries from FINRA, SEC, and state regulators effectively.
- Structured compliance procedures and testing protocols to ensure regulatory adherence.
- Developed and refined Written Supervisory Procedures Manual for financial advisors.
- Implemented AML policies, Business Continuity Plan, and Code of Ethics in daily operations.
Compliance Manager
VECTORGLOBAL WMG
Miami, USA
09.2009 - 12.2010
- Served high net-worth clients in Latin America through boutique broker-dealer and investment advisory roles.
- Facilitated customized financial services to meet distinct client requirements.
- Delivered strategic investment advice to enhance portfolio performance and optimize returns.
Assistant Vice President, Branch Examiner
CITIGROUP GLOBAL MARKETS
New York, USA
08.2003 - 09.2009
- Conducted comprehensive reviews of trading practices and operational systems for Smith Barney and Citi Private Bank.
- Ensured compliance with Federal and State laws, FINRA rules, and internal policies.
- Compiled detailed reports for Senior Management outlining findings and recommendations.
Lead Auditor, Attorney Audit Team
DISCOVER FINANCIAL SERVICES
Chicago, USA
01.2013 - 12.2013
- Performed audits of law firm's credit card collections across USA.
- Identified regulatory violations related to FDCPA and CFPB regarding cardmember rights and privacy.
Education
Master of Business Administration (MBA) - Finance
Florida International University (FIU)
Miami, USA01.2012
Bachelor of Business Administration (BBA) - Finance and Investments
Baruch College, Zickling School of Business
New York, USA01.2003
Skills
- Cross-cultural team leadership
- BSA/AML compliance
- AML due diligence
- Suspicious activity reporting
- Financial crime prevention
- Sanctions screening
- Compliance program development
- Training and development initiatives
- Policy and procedure management
- Monetary Authority of Singapore (MAS) expertise
- Complaint resolution management
- Marketing compliance reviews
- Regulatory compliance audits
- Testing and monitoring strategies
- Regulator engagement
- Compliance operations optimization
- Remediation planning
- Strategic leadership in compliance
- Risk mitigation strategies
- Quality assurance practices
Certification
- CAMS, Certified Anti-Money Laundering Specialist
- FINRA Series 79, 05/01/10
- FINRA Series 24, 04/01/10
- FINRA Series 66, 05/01/05
- FINRA Series 7, 02/01/02
Risk And Monitoring Software Experience
- Oracle Siebel
- NICE Actimize
- Subserveo
- Sydel Corporation (AML monitoring)
- Smarsh
- Advisor
- LexisNexis AML Solutions & Bridger
- Thomson Reuters-Westlaw
- Dow Jones Risk and Compliance/Factiva
- PACER
Clearing Platform Experience
- Pershing
- JP Morgan
- Thomson Reuters
- Legent Clearing
Languages
Spanish
Native/ Bilingual
Dutch
Elementary
Timeline
Acting Director Compliance Independent Assessment Wealth APAC, EMEA & UAE
CITIBANK N.A.
12.2023 - 10.2024
Senior Vice President, Compliance Independent Assessment Wealth APAC, EMEA & UAE
CITIBANK N.A.
02.2022 - 10.2024
Compliance Consultant
UNICORN CONSULTING LLC
01.2020 - 02.2022
Compliance Director
PROSPER MARKETPLACE
08.2017 - 02.2022
Financial Crimes Compliance (FCC) Manager, Latin America
GE CAPITAL CORPORATION
12.2013 - 11.2016
Lead Auditor, Attorney Audit Team
DISCOVER FINANCIAL SERVICES
01.2013 - 12.2013
Compliance Manager
STATETRUST INVESTMENTS
01.2011 - 08.2012
Compliance Manager
VECTORGLOBAL WMG
09.2009 - 12.2010
Assistant Vice President, Branch Examiner
CITIGROUP GLOBAL MARKETS
08.2003 - 09.2009
Master of Business Administration (MBA) - Finance
Florida International University (FIU)
Bachelor of Business Administration (BBA) - Finance and Investments
Baruch College, Zickling School of Business
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