Douglas J. Keffler
Legal & Compliance, AML Manager
- Role
- Aml Manager at Avia
- Location
- San Francisco, CA, US
- LinkedIn followers
- 500 followers
Experience
Aml Manager
Aug 2022 — Present · Mountain View, CA, US
Oversee & manage all AML policies and procedures including KYC, EDD, and transaction monitoring• Revise and draft amendments to the AML policy and procedures• Manage the buildout and testing of the AML transaction monitoring system• Create SAR referral guidelines and internal procedures for escalating potential suspicious activity from frontline departments• Review AML alerts and draft SAR referrals• Host SAR Committee meetings and present SAR narratives and supporting documentation• Conduct manual negative news and sanctions screening reviews• Manage vendor procurement and implementation for various elements of the AML program• Lead investigations, draft responses, and manage all requests from state attorney general offices and law enforcement agencies regarding potential suspicious activity • Draft and publish new compliance procedures for various departments• Perform KYB due diligence for new vendors • Host and present annual training for various departments on topics such as AML/BSA regulations, confidentiality, and topics related to privacy• Perform legal research and analysis of various issues related to US and international compliance laws• Manage and oversee due diligence responses to third-party vendors required for onboarding and periodic reviews
Education
Arizona State University
Bachelor of Arts (B.A.)
Thomas Jefferson School of Law
Juris Doctor (J.D.)
Skills
- Westlaw
- Depositions
- Legal Research
- Trials
- Environmental Law
- Mediation
- Legal Analysis
- Public Speaking
- Criminal Law
- Leadership
- Hearings
- Personal Injury
- Contract Law
- Legislative Law
- Immigration Law
- Constitutional Law
- Interviews
- Litigation
- Courts
- Local Government Law
- Legal Writing
- Editing
- Legal Editing
- Motions
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