Jun 2019 - Present
A. Benjamin Mannes is responsible for the development and leadership of internal risk management policies, procedures and training that ensures regulatory compliance for a diversified financial services support company supporting a $500M portfolio of client organizations nationwide.
. Conducted investigations into reported compliance policy & safety violations, information breaches, and internal allegations.
. Provides guidance, advice, and/or training programs to improve business' understanding of related laws and regulatory requirements for banking, OSHA, human resources, EEOC, HIPAA, FAA, FINRA and SEC requirements.
. Develop AML/BSA/KYC reporting procedures and compliance strategies for potential regulatory issues relating to TILA, GLBA, PCI, SOX, UDAP/UDAAP,
TCPA, FDCPA, ADA, HIPAA and other policies.
. Worked for & interacted with regulators, legal counsel, SEC and court - appointed receivers on compliance issues.
. Developed and implemented business continuity & safety policies to assure operations during the COVID-19 outbreak of 2020.