Washington, District of Columbia, United States
3K followers 500+ connections

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About

A resourceful and results-oriented compliance executive and lawyer with proven experience…

Activity

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Experience & Education

  • Varo Bank

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Licenses & Certifications

  • Certified Regulatory Compliance Manager

    Institute of Certified Bankers

Publications

  • Scoring of Legal and Compliance Risk – How to Satisfy the Quants and the Litigators?

    Clear Law Institute

    The ability to rate legal and compliance risk is the foundation to an effective compliance or enterprise risk management program. However, rating legal and compliance risk in a framework developed for operational and other type risks can often be challenging. In this practical webinar, you will receive an overview of risk scoring frameworks as well as tips to best integrate legal and compliance risks into existing frameworks. You will learn:
    •The benefits of a standardized risk scoring…

    The ability to rate legal and compliance risk is the foundation to an effective compliance or enterprise risk management program. However, rating legal and compliance risk in a framework developed for operational and other type risks can often be challenging. In this practical webinar, you will receive an overview of risk scoring frameworks as well as tips to best integrate legal and compliance risks into existing frameworks. You will learn:
    •The benefits of a standardized risk scoring framework
    •Common approaches to risk scoring
    •How to incorporate legal and compliance risk into your Company or Client’s framework
    •Practical examples of scoring legal and compliance risks

    See publication

  • CFPB Examination of Third Parties—Am I Still My Vendor's Keeper?

    Mortgage Operations and Compliance Industry Insights

    See publication

  • Rating Compliance Risk

    Society of Corporate and Compliance Ethics

    See publication

  • Traps for the Unwary Lender: State Law Issues Related to Internet Banking

    Electronic Banking Law and Commerce Review

Patents

  • Systems and methods for providing anonymous financial transactions

    Issued US 20010029496

    he present invention relates generally to methods and apparatus for providing anonymous financial transactions. A user can apply for an anonymous financial account through a financial organization. The user is approved, an anonymous account is established and the user is notified. Once the anonymous account and associated card (if needed) is activated, the user can make anonymous purchases and have goods delivered anonymously, wherein the merchant does not know the user's real identity or…

    he present invention relates generally to methods and apparatus for providing anonymous financial transactions. A user can apply for an anonymous financial account through a financial organization. The user is approved, an anonymous account is established and the user is notified. Once the anonymous account and associated card (if needed) is activated, the user can make anonymous purchases and have goods delivered anonymously, wherein the merchant does not know the user's real identity or address.

    See patent

Recommendations received

  • LinkedIn User

    LinkedIn User

    “I’ve had the privilege of working with Steve twice in my career and he’s a phenomenal Chief Compliance Officer. He is plugged into market dynamics, is quick to understand and advise on the business strategy, and tailors the Compliance organization and framework to support the business. There are a couple “firsts” that I’ve witnessed with Steve. It was the first time that I’ve seen a leader inherit a team and win over their hearts and minds so quickly. He had each and every Compliance team member raving about his leadership within a few weeks and achieving team engagement that I’ve rarely seen before. His primary means of accomplishing this is by coaching each team member and bringing out the best in them. This isn’t restricted to the team, but he helped all the leaders in the company in this way and I appreciated his counsel throughout our working relationship. It was also the first time that I have seen a CCO stand up a Compliance Management System in a quarter which then passed internal and external reviews. Steve has an incredible encyclopedic knowledge of US Bank regulation and is a true strategist. He is able to make decisive recommendations on technical compliance matters, is sought out as a trusted advisor, and offers creative solutions to enable the business. I highly recommend Steve as a Chief Compliance Officer for a large bank or a FinTech subject to regulatory uncertainty/complexity.”

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