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Timothy Dunfey, Esq, CFE, CAMS

Timothy Dunfey, Esq, CFE, CAMS

Timothy Dunfey Esq., CFE, CAMS, is a Bates Consulting Expert who has 16 years of experience in financial services operations and compliance. Mr. Dunfey is a highly seasoned professional experienced in all facets of AML and OFAC processes, regulatory communications, corporate governance, investigations, and risk management.

Mr. Dunfey has assisted financial institutions and their Boards to address regulatory criticism and manage AML and OFAC risk during times of significant regulatory pressure and public scrutiny. He has experience hiring, managing, and developing staff as well as executing AML/OFAC engagements, risk assessments and systems implementations in the U.S. and Canada.

After receiving his J.D., being admitted to the bar and legal practice, Mr. Dunfey held the role of Deputy BSA Officer at Great Florida Bank where he assisted in the implementation of the automated monitoring system, managed complex investigations, and filed SARs.  Subsequently he held the role of Compliance Officer in Citibank’s compliance department and manager of a team of 50 KYC professionals across five lines of business (Brokerage, Private Banking, Retail Banking, International Personal Banking and Global Transaction Banking).

As a consultant, Mr. Dunfey has worked with teams to represent the board of directors of some of the world’s largest financial institutions to better understand their responsibilities and improve compliance processes while under a regulatory Order to comply.  More recently, Mr. Dunfey has worked with institutions small and large regarding BSA/AML and OFAC Audits, Risk Assessments, Regulatory Risk Inventories and Risk Assessments, customer, and product risk ratings, third party validations of monitoring programs, policies, procedures, and process improvements.

Timothy is a consultant and subject matter expert in these Practice Areas and Services:

Credentials

EXPERIENCE

Bates Group LLC, Consulting Expert, 2017 – Present
Alhambra Compliance, Founder and Owner, March 2007 – Present
C-Stacks Inc., DBA Jasper Card, Legal and Compliance Officer, April 2019 - 2021
Citibank N.A., Compliance Officer, April 2010 – April 2011
Alhambra Compliance Consultants, Independent Consultant, October 2007 – April 2010
Great Florida Bank, Deputy BSA Office, January 2007 – October 2007
Markowitz, Davis, Ringle and Trusty, Summer Associate, Summer 2005
Morgan Stanley, Wealth Manager and Registered Investment Advisor, 2000 – 2003

EDUCATION

Executive Course in Business Applications for Artificial Intelligence, MIT Sloan School of Management
Juris Doctor (JD) with Honors, St. Thomas University School of Law, Miami Gardens, FL
Bachelor of Arts (BA), Criminology and History, The University of Florida, Gainesville, FL

BAR ADMISSIONS

 Admitted to the Florida Bar and the Federal Courts in the Southern District of Florida  

PROFESSIONAL QUALIFICATIONS

Suncoast Bankers Compliance Association – Board Member and Treasurer
Speaker for the Chief Executive Officer Affiliation Program for Sheshunoff Consulting Solutions
Coach Bayshore Little League and UA Flag Football

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.