Robert Morris is an affiliate expert at Bates Group, where he uses his OFAC/BSA expertise as an Anti-Money Laundering Compliance Officer (AMLCO) to provide financial services consulting and testimony, primarily for broker-dealers. Mr. Morris has over 30 years of industry experience as a Regulatory Compliance Consultant and Project Manager, leading engagement teams in diverse financial institutions and providing BSA/AML, Global Economic Sanctions, Risk Management, Financial Crimes and Forensic Investigations subject matter expertise.
Prior to joining Bates Group, Mr. Morris spent over fifteen years in a high-pressure trading environment overseeing liquidity, volatility and news-related trading events. He has consulted financial regulatory compliance programs at over a dozen financial institutions, leveraging his deep expertise of financial products, operational processes and technology platforms to accurately identify and define business requirements.
Mr. Morris has developed basic compliance manuals, disclosures and written supervisory procedures for numerous digital currency or smart contract enterprises that operate within a blockchain protocol. His strength is in development of AML procedures that overlap with KYC and CIP programs, helping crypto-currency start-ups navigate the complex gauntlet of regulators.
Additionally, Mr. Morris is an experienced Project Manager, translating complex business challenges and AML-related regulatory requirements into executable project plans. He has managed numerous compliance teams across North America, including AML and Global Economic Sanction transaction monitoring, KYC and CDD remediation, Suspicious Activity Reporting (SAR), trade finance and Foreign Correspondent Banking Risk Assessment initiatives.
A Certified Anti-Money Laundering Specialist (CAMS), Mr. Morris has also served recently as a FINRA arbitrator.
KPMG US, New York, NY, Senior Consultant, 2017 – Present
ALMA Bank, Clifton, NY, Case Analyst Supervisor – AMLCO, 2016 – 2017
Roosevelt & Cross, New York, NY, Interim Chief Compliance Officer, 2016 – 2016
Swartwood Hesse, Westtown, NY, Compliance Director - AMLCO, 2014 – 2016
Compliance Consultant, Parsippany, NJ, Head of Broker-Dealer, Investment Adviser, 1940 Act Department, 2014 – 2016
Sussex Securities LLC, Lafayette, NJ, CEO, CCO, 1996 – 2013
Westfalia Investments, New York, NY, Senior Vice President, OSJ, 1990 – 1996
Rutgers University, Camden, NJ, Project Management Certification, 2016
Mars Hill College, Mars Hill, NC, Bachelor of Arts, Economics, 1982
Series 7 (active)
Series 24 (active)
Series 82 (active)
Certified Anti-Money Laundering Specialist CAMS©
FINRA Arbitrator, New York, NY (2017 – present)
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