Robert A. May has over 30 years of experience in regulatory compliance, risk management, and auditing for large financial institutions. He is currently a Vice President of Global Transaction Bank Regulatory Compliance at Deutsche Bank, where he conducts risk assessments and ensures compliance with regulations. Prior to this, he held several senior compliance and risk management roles at Citibank, JPMorganChase, and Merrill Lynch.

1. ROBERT A. MAY
580 Patten Avenue Unit #26
Long Branch, NJ 07740
908.433.4496 (Cell); ramay1127@gmail.com
WORK EXPERIENCE:
Deutsche Bank, New York, NY
Vice President - Global Transaction Bank Regulatory Compliance Officer, 2/2011 – Present
- Responsible for providing regulatory compliance coverage for Global Transaction Banking division which
offers an extensive range of corporate trust, agency, depositary, custody and related services for debt, equity
and other financial securities transactions worldwide.
- Conduct regulatory compliance risk assessments to ensure policies and procedures are appropriately aligned
with pertinent state, federal, and international regulatory requirements.
- Work closely with the business during internal/external examinations and assist with development and
implementation of corrective action plans to address deficiencies identified.
- Conduct compliance training on new/amended regulatory requirements and/or regulatory “hot topics” in the
banking /financial markets industry.
- Responsible for working with business management to ensure controls are in place to address Volcker Rule
regulatory requirements which includes Super 23A Restricted List screening during the new deal approval
and client on boarding processes. Also responsible for coordinating/facilitating Volcker CEO sub
attestation/sign off process with business line management.
- Conduct KYC due diligence reviews of existing and potential new “high risk” clients escalated by any of the
T&SS businesses offered in North America.
- Provide guidance to the business relating to new client prospects/existing client base regarding KYC/AML
areas such as high risk industries/countries, negative media information, politically exposed persons, and any
other matters that may be potential violations of the Bank Secrecy Act, USA PATRIOT Act, and/or OFAC
regulatory requirements.
Vice President - Global Custody Risk Manager, 12/99 – 7/00
- Responsible for developing/coordinating/implementing standardized risk assessment programs across all
product lines / regions for the Bank’s Global and Domestic Custody Businesses.
- Responsible for managing daily/ongoing activities of six Global Risk Managers. Worldwide processing
locations include Europe (Edinburgh and London), Asia (Sydney and Singapore), and the Americas
(Nashville and New York).
- Responsible for working with Line Management to address all outstanding internal/external audit and
compliance issues to ensure that sound corrective action plans have been implemented and updated
accordingly in policies and procedures.
- Maintain a sound working relationship with the Federal Reserve and State of New York bank examiners
acting in a liaison capacity during all examination processes.
Citibank, New York, NY
Senior Vice President – Head of Citi Trust Business Risk Management, 11/05 – 2/2011
- Manage the day-to-day ongoing activities of the Citi Trust Business Risk Management team, comprised of
ten risk and compliance professionals.
- Oversee and manage the development, implementation, and execution of the Risk Management team’s Risk
Control Self Assessment monitoring and testing program, escalating internal control deficiencies along with
mitigating control enhancements to the senior management team, as necessary.
- Facilitate and coordinate monthly Business Risk and Control Committee (“BRCC”) meetings for the Citi
Trust senior management team. The BRCC meetings create a forum for the Citi Trust senior management
team to discuss and review pertinent fiduciary risk issues/metrics, federal/state regulatory matters, policy
For internal use only

2. updates/amendments, technology/project initiatives, training programs, and significant litigation issues
currently impacting the business.
- Manage/maintain a sound working relationship with the Office of the Comptroller of the Currency
examination teams, as well as, the Firm’s legal, internal audit, corporate compliance and independent risk
management representatives.
- Partner with the Firm’s Global AML/KYC Compliance team to ensure efficient and effective monitoring
programs/procedures are in place to prevent potential money laundering activities and/or OFAC violations.
- Ensure staff members receive appropriate training necessary to stay abreast of new/amended regulatory
matters, as well as, maintain the appropriate levels of continuing education credits to ensure certifications
and/or licenses (e.g. CTA, CTCP, NASD licenses, CPA, etc.) remain active.
JPMorganChase Bank, New York, NY
Vice President – Regulatory Compliance Officer, 7/00 – 11/05
- Responsible for the development, implementation and execution of a comprehensive global regulatory
compliance testing program for the Firm’s Institutional Trust businesses.
- Responsible for performing “on site” testing/monitoring/reporting to ensure compliance with domestic and
international regulatory requirements, as well as, internal policies and procedures.
- Responsible for ensuring appropriate procedures/internal controls are in place to fully comply with
new/amended anti-money laundering/anti-terrorism regulatory requirements of the USA Patriot Act of
2001, Bank Secrecy Act, and the Office of Foreign Asset Control.
- Maintain a sound working relationship with the Federal Reserve, Office of the Comptroller of the Currency,
Securities and Exchange Commission, FDIC, and the New York State Banking Department, working in a
liaison capacity when facilitating/coordinating examinations.
- Conduct training classes on new policy issues/current “hot topics” and topics requested by management.
Merrill Lynch & Co., Inc., Princeton, NJ
Vice President – MLAM / Trust Portfolio Group, Fiduciary Risk Manager, 6/98 - 12/99
- Responsible for the development/maintenance of a sound risk management infrastructure within the Trust
Portfolio Group. This territory ranges throughout all fifty states.
- Responsible for writing the department’s policy and procedure manuals, as well as, conducting training
sessions to communicate the policies to the Portfolio Managers.
- Developed and implemented risk assessment compliance program to assist Management in monitoring and
tracking daily administrative, operational and regulatory risks.
- Developed Microsoft Access and Advent automated exception reports to monitor/identify non-compliant
conditions in asset allocation alignments, asset concentrations, below standard debt security positions, “non”
investment list holdings, and Merrill Lynch common stock holdings.
- Conduct annual “on site” investment reviews for all national Trust Portfolio Group Offices.
Assistant Vice President - Compliance Officer, 3/97 - 6/98
- Responsible for personal trust compliance for Merrill Lynch Trust. The territory ranges to all fifty states.
- Developed/implemented risk assessment compliance programs to ensure systems and controls meet
regulatory requirements and sound business practices.
- Coordinated/supervised and wrote compliance reviews for all trust administrative/operational hub offices.
- Conducted training classes on new policy issues, as well as, topics requested by management.
- Maintained a sound working relationship with the OTS, SEC and State fiduciary examiners and acted as a
liaison during the examination processes.
First Union Corporation, Newark, NJ
Vice President - Compliance Officer, 9/93- 3/97
- Responsible for personal trust compliance for the Capital Management Group of First Union Corporation.
This territory ranged along the east coast from Connecticut to Florida and Tennessee which was comprised
of 85 local offices with a total account base of approximately 65,000 personal trust accounts.
For internal use only

3. - Coordinated/reviewed and documented quarterly compliance and internal control assessments.
- Reviewed and evaluated policies and procedures to ensure consistency between states.
- Provided training sessions on regulatory “hot topics” as well as issues requested by management.
- Worked as a liaison between management and internal/external bank examination teams.
The Bank of New York Company, Inc., New York, NY
Assistant Treasurer - Audit Supervisor, 9/88 - 9/93
- Appraised the effectiveness and application of internal controls and reliability of data generated and utilized
within the securities processing, trust and investment management divisions within the bank.
- Evaluated the efficiency of policies and procedures to ensure compliance with pertinent laws and
regulations.
- Additional areas examined were Consumer and Asset Based Lending, Real Estate Appraisal, Human
Resources, and Capital Markets.
National Westminster Bank USA, New York, NY
Senior Auditor, 10/86 - 9/88
- Conducted and supervised various department and branch audits, including Personal, Corporate, and
Employee Benefit Administration and Operations.
- Developed audit procedures to ensure that areas of risk were adequately managed.
First Fidelity Bancorporation, Newark, NJ
Trust Auditor, 10/85 - 10/86
- Planned, executed and presented audit conclusions of examinations in Personal, Corporate, and Employee
Benefit Trust Administration.
European American Bank, New York, NY
Management Trainee, 10/84 - 10/85
- The training program introduced the trainees to the operational and sales areas of retail banking.
EDUCATION:
Villanova University, Villanova, PA
Bachelor of Science in Business Administration degree, May 1984
English Minor
PROFESSIONAL DESIGNATIONS/LICENSES:
NASD Series 7 & 24 Licenses
ADDITIONAL TRAINING:
Cannon Financial Institute Trust Audit I, II, and III, University of North Carolina at Charlotte
REFERENCES:
Available upon request.
For internal use only