Sharina E. Briggs
New Jersey,NJ
Summary
Results-driven executive with extensive experience in regulatory exam facilitation with demonstrated ability to effectively interact with regulators and stakeholders; Proven track record of articulating complex issues though concise and clear messaging; Exceptional skills in strategic planning, regulatory requirements, and aligning processes to policies and regulatory requirements; Adaptable and reliable, and effective at prioritizing tasks and meeting deadlines; Demonstrated success in building and managing successful teams.
Overview
25
25
years of professional experience
1
1
Certification
Work History
Vice President, Regulatory Officer, Team Lead
Sumitomo Mitsui Banking Corporation (SMBC)
09.2022 - 06.2025
- Notified senior management and other relevant personnel of upcoming examinations, advising on scope, focus of exam and expectations; acted as liaison between stakeholders and regulators for all exam related matters, providing advice as needed.
- Performed prep sessions with stakeholders for upcoming exams to facilitate optimal exam results
- Handled overall exam logistics from beginning to end, including tracking pre-exam, first day letter, follow-up requests and management response letters; ensured submissions were responsive to regulator’s requests and submitted timely
- Facilitated the collection of documents before, during and after examinations and performed due diligence to ensure the quality of the documentation prior to submission to the regulators
- Scheduled weekly exam touchpoint meetings between regulators and senior business stakeholders during exams to obtain status/progression of the exam and identify any potential issues or areas of concern
- Scheduled and attended exam meetings with regulators and business stakeholders to ensure regulatory needs were addressed; documented meeting discussions and provided timely meeting summaries and updates to senior management and other relevant parties
- Escalated to management and other relevant stakeholders on potential issues observed during or outside exams to ensure they were properly and timely addressed
- Tracked regulatory themes, emerging issues and monitored for supervisory focus areas and trends; conducted “read across” to identify and inform other business areas that may be impacted
- Coordinated and tracked exam findings (MRIAs, MRAs and Recommendations); worked with relevant business stakeholders to ensure remediation plans were sustainable, met all regulatory requirements and to improve future exams
- Worked with Internal Audit team to ensure validation of remediations plans
- Tracked status of regulatory inquiries, exams, reviews and findings and provided periodic and ad hoc management reporting; maintained all regulatory correspondence, transmittal letters, management responses and remediation actions in a central repository
- Scheduled and facilitated Routine Continuous Monitoring (RCM) meetings for C-suite executives and conducted prep sessions as needed; took meeting notes and distributed summaries to senior level executives
- Created exam templates for FDL and FUR trackers, cover memos, meeting summaries and management response letters; created Standards and Best Practices for exam and RCM meetings; created best practices for stakeholders on regulatory interaction
- Produced and highlighted best practices and lessons learned from exam reviews
- Ensured regulatory procedures manual remained current and up to date
- Submitted Routine Continuous Monitoring reports
- Reviewed documents for removal of CSI as needed
- Crafted “Thank You” letters on behalf of CEO and Head Office senior management to regulators for in-person meetings
- Managed team of four direct reports, providing oversight of their BAU work, individual performance and professional development
Vice President – Regulatory Engagement Manager
JP Morgan Chase & Co.
11.2018 - 09.2022
- Developed the Quality Program for the Regulatory Engagement Team around the Global Compliance Exam Management process according to the Firms’ Global Standards
- Project lead handling all pre-exam preparation, fieldwork activities, on-site facilitation of regulators and post exam processes
- Performed end-to-end engagement with regulators, including setting up and facilitating meetings with business leads and other stakeholders, identified and distributed First Day Letters requests to appropriate business leads, ensured documentation produced by the business was responsive to the regulators request, scheduled internal preparation meetings, ensured escalation of emerging issues, ensured distribution of Supervisory Letters and managed ongoing supervisory activities
- Set up and facilitated meetings between the regulators and business leads for exam kick-off meetings, process/function deep dives and walkthroughs – noted issues/concerns that arose in meetings and ensured updates were provided to all stakeholders
- Ensured that full and relevant context was provided between the business and the regulators to prevent undue concerns
- Ensured relevant exam data was input into central repository system to allow for weekly reporting to senior management
- Ensured that all issues and concerns highlighted during an exam were reviewed and addressed, and that action plans were developed, completed and tested to address the root cause
- Handled on-going supervision requests from regulators; tracked for various monthly, quarterly and yearly business reports
- Tracked MRAs, MRIAs, and Recommendations to resolution; worked with business leads to ensure resolutions were responsive and handled timely
- Produced and highlighted best practices and lessons learned from exam reviews
Vice President – KYC QA Compliance Manager
JP Morgan Chase & Co.
12.2015 - 11.2018
- Built a centralized, independent Global KYC QA program covering all LOB’s and customer types within the Firm; successfully passed audit exams in the first year with highest rating; successfully drove down defect rates across LOBs by minimum of 12%; implemented due diligence consistency amongst QA and LOB teams
- Managed two direct reports who led independent teams of QA Reviewers conducting quality reviews on Corporate and Investment Banking (CIB) and Commercial Banking (CB) KYC records and Account Activity Reviews (AAR’s); dotted line manager for Holistic KYC function
- Recruited and hired staff globally (Singapore, Bournemouth, Hyderabad, Brooklyn)
- Responsible for driving a comprehensive, consistent and firm-wide KYC Quality Assurance program by enforcing testing guidance from a regulatory and holistic KYC profile viewpoint
- Ensured that the New Client Onboarding, Renewal, Remediation and AAR processes performed by the LOBs met the Global Standards
- Assisted in creation of test scripts to align to Global KYC Standards
- Ensured calibration SLAs were met and timely metrics provided to the LOBs, along with key defect themes and root cause analysis
- Acted as Global liaison between LOB, Compliance and KYC QA in order to foster a clear and consistent understanding of QA findings, the impact of results, and the value of the testing process
- Provided support and communications around advisory, change management, new initiatives/projects, training, business resiliency and changes happening within Global KYC QA
- Provided support during internal audit and external regulatory exams
- Kept abreast of KYC trends and “hot issues” and anticipated areas of focus and attention of regulators; kept global teams informed
- Implemented capacity and resourcing models to maximize efficiency across teams
- Ensured QA policies and procedures remained relevant and current
- Standardized Global KYC QA Training program
Vice President – AML Compliance Manager
JP Morgan Chase & Co.
03.2013 - 12.2015
- Stood up regional team of ~25 associates to perform QA across the Firms’ OFAC/Sanctions and SAR (Suspicious Activity Report) Filing Units
- Designed, proceduralized and implemented the Global SAR QA process from end-to-end covering the Firms’ SAR filing units, creating process consistency amongst the units
- Designed and implemented firm-wide Corrected SAR Criteria, drove down Corrected SAR filings by 26% in the first year of implementation
- Assisted SAR Control Office with constructing SAR filing guidance, issue resolution and change management processes
- Drove change by recommending corrective actions arising from quality testing (trends, root cause analysis, etc.)
- Managed 3 direct reports who supervised teams of QA Reviewers
- Responsible for oversight, training, management and supervision of QA Reviewers/Supervisors
- Conducted managerial review of SAR and non-SAR cases and cleared OFAC screenings completed under supervisory reviews
- Reported and tracked team results; conducted capacity analysis
- Prepared metrics for senior executives and key stakeholders
- Assisted with the design and implementation of training plans to expand QA reviews to cover AML Alerts
- Designed quality testing scripts based on criticality rating; drafted and implemented quality testing procedures; defined and executed feedback loop process, governance model and risk-based/statistical sampling methodology
Assistant Vice President, Anti-Money Laundering Compliance
Pershing LLC, A Bank of New York Mellon company
06.2007 - 03.2013
- Conducted AML and Fraud investigations escalated to Compliance via Incident Reports
- Drafted and prepared SARs – documented and provided rationale in cases where SAR filings were not warranted
- Provided AML advice/support to Operations & Compliance personnel at numerous introducing broker-dealers (IBDs)
- Reviewed real time wires, checks and securities transfers for OFAC and AML purposes – worked with IBDs’ Compliance & Operation personnel to gain clarity on transactions and/or end-clients
- Assisted with providing AML, Fraud and OFAC training to new and existing employees
- Performed new client due diligence reviews for the on-boarding process
- Responsible for the Firm’s 314(a) obligation to FinCEN – conducted investigations on positive matches
- Assisted with handling sensitive investigations involving Non-Public Privacy Incidents (NPPI)
- Escalated issues and assisted with compiling reports for the Suspicious Activity Review and Oversight Committee, consisting of senior management from Compliance, Legal, Credit and Risk Management departments, and Account/Relationship managers
- Assisted with preparation of issues for submission to AMLOC Committee
- Assisted with ensuring the Firm’s written AML policies and procedures remained current and up to date
Assistant Treasurer, Legal and Compliance
The Bank of New York Mellon
06.2005 - 06.2007
- Team Leader of analysts who conducted AML investigations generated by alerts
- Conducted supervisory reviews of cases reviewed by analysts
- Reviewed SAR narratives drafted by analysts before presenting to Firm attorneys for final submission
- Conducted reviews of detailed and complex investigations involving correspondent banking federal fund wires
- Conducted quarterly reviews of previously reviewed cases put on heightened supervision
- Conducted investigations in response to Civil and Grand Jury Subpoenas
- Kept track of aging alerts and investigations; ensured filings were completed by due date
Associate Manager, Anti-Money Laundering Compliance
Prudential Financial, Inc.
09.2000 - 06.2005
- Reviewed reports designed to detect and prevent money laundering activity in retail and institutional accounts/documented findings
- Analyzed account transactions for possible money laundering and fraud
- Reviewed real time wires and checks for OFAC and AML purposes
- Composed and filed SARs – placed Close, Restrict or Monitor status on accounts as necessary
- Maintained database of all reviewed accounts along with their statuses
- Provided daily support to domestic and international Prudential branches on all OFAC, AML, KYC issues – ensured adherence to all BSA requirements
- Assisted with developing and presenting OFAC/AML training to branch and home office personnel
- Performed OFAC reviews on new and existing clients
- Coordinated in-depth client background checks with Corporate Security, Regional Compliance and Law Departments
- Performed Enhanced Due Diligence (EDD) on new and existing customers
- Performed “inspect and repair” of junior associates’ work
- Assisted with keeping enterprise informed of new and pending regulations (SEC, FINRA, US Patriot Act)
- Published quarterly AML Information Bulletin
Education
Business Administration
Katharine Gibbs Business School
Piscataway, NJSkills
- Data analysis and reporting skills
- Proficient in navigating regulatory websites
- Experienced with compliance-related online platforms
- Team leadership
- Decision-making
- Critical thinking
- Coaching and mentoring
- Relationship building
- Results-driven
Certification
Certified Anti-Money Laundering Specialist (CAMS), 2006
Affiliations
- ACAMS
Timeline
Vice President, Regulatory Officer, Team Lead
Sumitomo Mitsui Banking Corporation (SMBC)
09.2022 - 06.2025
Vice President – Regulatory Engagement Manager
JP Morgan Chase & Co.
11.2018 - 09.2022
Vice President – KYC QA Compliance Manager
JP Morgan Chase & Co.
12.2015 - 11.2018
Vice President – AML Compliance Manager
JP Morgan Chase & Co.
03.2013 - 12.2015
Assistant Vice President, Anti-Money Laundering Compliance
Pershing LLC, A Bank of New York Mellon company
06.2007 - 03.2013
Assistant Treasurer, Legal and Compliance
The Bank of New York Mellon
06.2005 - 06.2007
Associate Manager, Anti-Money Laundering Compliance
Prudential Financial, Inc.
09.2000 - 06.2005
Business Administration
Katharine Gibbs Business School
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