Overview of Network ESC's expertise as a provider of Compliance/Risk solutions.

1. COMPLIANCE SERVICES
Network ESC's Compliance, Risk & Regulatory staffing and executive search practice services provides banks, hedge funds, and
financial services firms with specialized Compliance personnel for compliance audits, regulatory reviews, and risk management
initiatives. For years, we have partnered with our clients to support human capital needs and have undertaken initiatives that
require specialized or highly sophisticated skill sets.
Our specializations include:
• OFAC Compliance
• SOX Compliance
• Capital Markets Compliance
• M&A
• Regulatory Compliance – OCC, FDIC, NY State Banking, FINRA, SEC
• BSA, AML, KYC, IA 1934/1940, Dodd-Frank, FATCA
• Corporate Due Diligence
• ISDA Contracts
• Contracts/Procurement
Recent Highlights include:
• Contingency placement of General Counsel for a top brokerage and investment advisory firm.
• VP of Legal Compliance for top international Bank in NY.
• Chief Compliance Officer for Midwest-based Commodities Trading firm.
• Intellectual Property Contract Attorney for mid-sized firm preparing for litigation proceedings
• Vice President of Testing and Surveillance for top international banking institution in NY.
• Director of AML Compliance for top global Private Wealth firm
• Senior Dodd-Frank Policy Advisor for OTC Derivatives Group of top U.S. Financial Institution.
• Former FBI/Attorney Consulting Advisor to headquarters of major international bank in upstate NY on BSA policy.