intel threat finance

1.  U S A r m y T h r e a t F i n a n c e A n a l y s t ( T S - S C I C l e a r a n c e ) Mark Bradley, Esq.
 C e r t i f i e d A n t i - M o n e y L a u n d e r i n g S p e c i a l i s t ( C A M S ) 319 West 92nd St
 D o d d F r a n k , B a n k S e c r e c y & P a t r i o t A c t s C o m p l i a n c e New York, New York, 10025
 W a t c h l i s t S c r e e n i n g : O F A C , S a n c t i o n s , P E P s , N e g a t i v e N e w s Cell: (917) 441-6990
 C l i e n t E n h a n c e d D u e D i l i g e n c e ( E D D ) O n b o a r d i n g & R e m e d i a t i o n mbradleykyc@gmail.com
 S u s p i c i o u s A c t i v i t y R e p o r t ( S A R ) : I n v e s t i g a t i v e R e v i e w , R e p a i r & A u d i t
 C l i e n t R i s k R a t i n g ( C R R ) , C u s t o m e r I d e n t i f i c a t i o n P r o g r a m ( C I P ) , K n o w Y o u r C l i e n t ( K Y C ) & A n t i -
B r i b e r y A n t i - C o r r u p t i o n ( A B A C ) A n a l y s i s
EDD Investigator, M&T Bank Corporation
New York, New York & Baltimore, Maryland October 2013-Present
 Conduct full spectrum Enhanced Due Diligence analysis to detect high risk customers, OFAC
prohibited counterparties, monitor complex account behavior and report suspicious financial
activity with respect to money laundering, terrorist financing and FATCA reform
 Assess and mitigate the litigation and regulatory risk associated with high risk customers through
enhanced, KYC analysis, CIP procedures and transactional review
 Cooperate with Bank Counsel to identify new legal issues, communicate to all business lines
current regulatory requirements and make appropriate recommendations to maximize
departmental compliance resources and minimize reputational risk to the bank
 Implement internal compliance policies and control procedures guided by a thorough knowledge
of BSA law and AML regulations
Regulatory Financial Compliance Consultant & Enhanced Due Diligence Analyst
Clients 2008 to 2013:
Market Monitoring & Due Diligence Analyst, Clifford Chance, New York, New York
 LIBOR Investigation: Investigate trader and management records to detect evidence of alleged
coordinated trading and potential benchmark rate manipulation, including LIBOR and
ISDAFIX
 Conduct systemic behavioral audit of derivative trading desk audit: swaps transactional
surveillance, electronic communications monitoring and audio review of structured finance desk
proprietary phone lines (squawk box) for evidence of wash trading activity
 Produce FRAML analysis report based on all available evidence: account alert history, case
management, SAR filings, CIP documentation, Client Risk Rating methodology and consistency
in client onboarding and remediation
AML Investigations Officer, Account Intelligence Unit (AIU), HSBC, Brooklyn, New York
 Assist Financial Intelligence Unit (FIU) in federally mandated KYC retroactive review involving
all branches, affiliates and lines of business
 Conduct multi-source onboarding and remediation using a “client type/financial product” risk
analysis to determine the appropriate level of due diligence and escalation triggers
 Conduct SAR triage to prioritize review, repair, and escalation decisions
Electronic Communications Analyst, Federal Reserve Bank of New York (FRBNY) New York, NY
 Assist in Congressional inquiry regarding allegations of investment bank manipulation of a major
international interest rate bench-mark and resulting Foreign Exchange (FX) market disruption
 Review all relevant documentation, Wholesale-Retail-Operational-Institutional, to create course
of conduct timeline, prepare associated exhibits and presentations and file final report
KYC-AML Business Systems Analyst, Citigroup, Long Island City, New York
 Proactively execute Citiwide sanctions and watchlist protocol using internal database, proprietary
filter software and open source analysis to identify, confirm and escalate cases involving PEPs,
SDN’s or negative news matches

2.  Create KYC war game scenarios and behavioral models that allow for adaptive
onboarding/remediation strategy corresponding to variations in financial product, account profile
and client reactions to the KYC process
White Collar Crime Analyst, Baker Hostetler, LLP, New York, New York
 Provide investigative support to bankruptcy receivership of largest Ponzi scheme in history
involving securities & banking fraud, BSA violations, transnational money laundering and
requiring identification, isolation and special accounting of fictitious financial transactions
 Extensive review and analysis of bank compliance documentation, complex financial instruments
and operational records to identify and prioritize client characteristics, account behavior and
transactional patterns with a high correlation for suspicious activity and reportable conduct
Securities Litigation & Regulatory Compliance Analyst, Sullivan & Cromwell, LLP,
New York, NY March 2003 – May 2008
 Perform continual White Collar due diligence on behalf of global investment bank subject to
multiple, competing compliance regimes complex litigation and reputational risk
 Investigate complex financial transactions subject of United Nation “Iraq food for oil”
controversy involving ABAC and Federal Corrupt Practices Act (FCPA) violations requiring,
verification of international wire transfer information on SWIFT, FedWire and CHIPS, counter
party validation on letters of credit complicated by linguistic and cultural barriers
 Lead subpoena triage effort to prioritize investigations and responses to inquiries generated by the
FCPA, FATCA, BSA and Patriot Act: 314 (a) & (b) National Security Letters, SAR
documentation
 Conduct financial sector enhanced due diligence of job candidates, employees, corporate officers,
board members, as well as companies or industries subject to M&A activity by a “Bulge Bracket”
firm
1st
Lieutenant, Military Intelligence Corps United Army, (TS-SCI Clearance) 1989-1996
Russian Crypto-Linguistic Analyst with the 1st
Armored Division Federal Republic of Germany (FRG)
Responsible for:
 Operations Security (OPSEC) investigations, SAR filings and escalation involving personnel
background & records, facility physical security, and Electronically Stored Information (ESI)
 Threat Finance Assessment of Post-Soviet black market activity and the potential impact on US
Army operations in Europe posed by the illicit flows of funds and contraband
 Electronic communications surveillance and analysis of Soviet & Warsaw Pact operations and
internal monitoring of US Army and NATO signal traffic for “red flag” activity patterns and
vulnerability indicators
KYC/CIP ONBOARDING, TRANSACTIONAL SURVEILLANCE AND RESEARCH SOFTWARE
Bloomberg
CitiScreening
2.4
Complinet
Cognos
D&B
EDGAR
Factiva
Introspect
Lexis Nexis
(Due Diligence-
Dashboard)
Mantas 4.3
NICE (Audio)
NICE
(Actimize)
Norkom
World-Check
(Certified)
PowerPoint
PROFESSIONAL AFFILIATIONS/ CERTIFICATIONS/AWARDS
FINRA AML-Compliance Training Wholesale-Retail-Operational-Institutional Spring (2012)
Association of Certified Fraud Examiners (ACFE, 2009)
National Association of Securities Dealers (NASD) FINRA license Series 3,30,31,34,63,65,66 (2011)
Certified Anti-Money Laundering Specialists (CAMS, 2012)
Department of Defense Certified Russian Linguist (1996)
Federal Bureau of Investigation, Behavioral Analysis Unit Award for Original Research (2004)
PROFESSIONAL EDUCATION
Tulane Law School, New Orleans, Louisiana, Juris Doctor, May 1998

3. Tulane University, New Orleans, Louisiana, Bachelor of Arts, May 1988 Dual Degree: Russian and
Soviet Area Studies GPA: 3.51/4.0