Hello, I'm Dan!
I am a Senior AML and KYC officer with 11 years of experience and a solid foundation in BSA/AML regulations, investigations, and conducting enhanced due diligence for risk assessments. I possess a broad base of knowledge in the fields of banking and brokerage compliance, the securities industry, regulatory training, and policy development.
Daniel Paszkiewicz
Senior Compliance Professional
​
Certified Anti-Money Laundering Specialist (CAMS)
Anti-Money Laundering Certified Associate (AMLCA)
​
Phone:
352.406.8280
Email:
​
​
INDUSTRY EXPERIENCE
2015 - Present
Vice President, Compliance Officer
Pershing LLC, The Bank of New York Mellon
​
-
Oversee Pershing’s KYC onboarding and periodic review due diligence for over 150 international and domestic institutions, prime brokerages, and bank custody business
-
Supervise a team of 3 sanctions analysts conducting a high-volume of daily OFAC and global sanction reviews, providing direction and assistance to ensure corporate and regulatory compliance
-
Serve as the subject-matter-expert (“SME”) for FinCEN CDD compliance
-
Draft and present high-risk memoranda to senior management and the Broker-Dealer Anti-Money Laundering Oversight Committee
-
Conduct EDD of each client for compliance with the firm’s AML/KYC requirements, and determine the potential risks posed by regulatory/reputational damage
-
Establish and foster client relationships, both internally and externally, ensuring appropriate actions to monitor progress and mitigate risk
-
Prepare and present firm-wide compliance trainings for over 2,800 employees
-
Carry out onsite compliance work at international affiliate offices
2011 - 2015
Anti-Money Laundering Compliance Officer
Pershing LLC, The Bank of New York Mellon
​
-
Conducted complex AML investigations and received firm-wide recognition
-
Spearheaded the implementation and quality control of sanctions screening technology
-
Led the firm’s nationwide AML Training Program
-
Created detailed exhibits for the firm and law enforcement outlining complex money laundering schemes
-
Developed numerous process improvements significantly reducing false positive alerts specific to fund transfers
-
SME providing direction and assistance for OFAC Sanctions, FinCEN 314(a) & 314(b), Suspicious Activity Reports, AML monitoring technology, and BSA/AML regulations
-
Represented the firm at international AML conferences
2007-2008
Associate Advisor
Ruggie Wealth Management
​
-
Developed and managed firm’s financial report tracking system to monitor portfolios totaling in excess of $200M
-
Analyzed investment portfolios and stock market performance for evaluation by financial advisors and clients
EDUCATION
2017
Master's Degree
Boston University
Banking & Financial Services Management
2008
Bachelor's Degree
University of Central Florida
Finance
LICENSES & CERTIFICATIONS
Series 7 General Securities Representative
Series 24 General Securities Supervisor
SKILLS
Microsoft Office (Word, Excel, Visio, Powerpoint, OneNote, Access)
Strong Writing, Analytical, and Communication skills
International Travel Experience
Lexis Nexis, Actimize, Fircosoft, Worldcheck, PACER
Presentations to both Technical and Non-Technical staff
Native in English, Proficient in Polish
EXPERTISE
Compliance Presentations
My strong presentation and training expertise has allowed me to develop targeted training for thousands of employees and hundreds of financial industry clients. The training included schooling parties on important changes and new developments surrounding AML-related laws, regulations, directives, significant industry issues, major events/risks, and identifying red flags.
AML/KYC Analysis
I have acquired practical experience and numerous achievements surrounding AML issues for one of the largest clearing firms in the world; reviewing and analyzing complex suspicious activity and drafting guidance on known, as well as new, emerging threats. Subject matter expert on OFAC Sanctions, FinCEN 314a reviews, Suspicious Activity Reports, AML monitoring technology, and BSA/AML regulations.
Unique Experience
My extensive experience has exposed me to hundreds of financial institutions and end-investors around the world, including but not limited to: global banks, international brokerage firms, multi-national financial conglomerates, hedge funds, and a wide variety of investment vehicles. I have worked on cases involving national security, money laundering, terrorist financing, and other financial crimes.