Eduard Mikinberg

About Eduard Mikinberg

Experience in leading financial institutions through complex regulatory issues with a specialization in BSA / AML and OFAC compliance. Proficient at assessing the design effectiveness of processes and internal controls, developing recommendations and remediation plans, and serving as a trusted advisor to clients and senior management. Adept at managing large scale change management initiatives and collaborating with internal and external stakeholders to anticipate, mitigate, and remediate audit, regulatory, and third-party identified control issues. Areas of focus include: Bank Secrecy Act (BSA) Anti-Money Laundering (AML) KYC OFAC Transaction Monitoring Exam Coordination Regulatory Remediation Project Management Process Improvement Change Management Regulatory Reporting Management Information Systems Risk Metrics, Dashboards and Scorecards Risk Assessment NYDFS Part 504 BSA Program | CRA SAR Enforcement Actions Regulatory Risk Independent Monitorships Correspondent Banking Process Improvement Business Process Re-design Operating Model Definition Stress Testing Operations Management Foreign Exchange (Cash and Options) Confirmation & Settlement Client Relations & Customer Service Management Trade Life Cycle Management Regulatory Compliance Data Analytics and Risk Management

Experience

1. Financial Crimes Compliance (Director)

   SMBC Group

   Mar 2020 — Present · New York, NY, US

   Provide guidance to business lines and senior stakeholders in execution of the BSA/AML and Sanctions risk assessments including sourcing of quantitative inherent risk data and qualitative analysis of the controls environment; perform risk scoring and analysis across lines of business to understand the residual risks and to strengthen policies, processes, and monitoring programs • Project management support for FCC remediation activities including a Transaction Monitoring Lookback and KYC remediation• Implementation of Transaction Monitoring and KYC workflow and case management tools including coordination with technology teams, project planning, management reporting, budgeting, the development of business requirements and operational workflows, and the execution of user acceptance testing• Draft policies / procedures and trainings on compliance responsibilities including Risk Assessment, NYDFS Part 504 certification, and product / industry / geographic risk ratings• Execution and project management responsibilities to extend the BSA/AML and Sanctions risk assessment methodology to cover eight new entities across the Americas Division• Coordination of the NYDFS Part 504 annual certification process including approval workflow management and recordkeeping requirements

Education

• University of Michigan - Stephen M. Ross School of Business

  MBA, Finance

• Baruch College

  BBA, Finance and Investments

Skills

• Business Analytics
• Regulatory Compliance
• Management Consulting
• Project Management
• Operations Management
• Data Analysis
• Business Strategy
• Finance
• Financial Analysis
• Risk Management
• Strategy
• Capital Markets
• Process Improvement
• Client Relations
• Fx Operations
• Banking
• Trading
• Fx Options
• Financial Modeling
• Financial Risk
• Ccar
• Enterprise Risk Management
• Analysis
• Management