Protiviti Contact

Protiviti Contact

Jeffery Naquin

Director

Professional experience

Jeffery is a Director in Protiviti’s Risk and Compliance practice with more than 15 years of experience in the financial services industry. He is an experienced financial sector consultant who has undertaken advisory, validation and Internal Audit roles. After joining Protiviti Jeffery has focused on regulatory and compliance related issues, including responses to consent orders and has focus areas of Anti Money Laundering and Regulatory Compliance. Prior to joining he worked at JPMorgan Chase in a number of different banker roles, spending most of his time in their Wealth Management business as a Relationship Manager.

 

Major projects

  • Enterprise Compliance and Risk Assessment (ERCA)
    Led a team that managed and executed an ERCA on the Hong Kong and Singapore legal entities of one of the world’s leading FinTech companies. The ERCA mapped legal requirements as well as business risk to processes to identify how the processes exposed the firm to risk, and then evaluate the effectiveness of risk mitigation within each process. This engagement included managing stakeholders, documenting processes, and training the Compliance and Risk stakeholders on how to use the technology being leveraged to conduct the risk assessment and how to perform the ERCA on their own.Enterprise Compliance and Risk Assessment (ERCA)
  • AML Consent Order Validation
    Seconded to work in CIB APAC regional internal audit team for a top 5 global bank where he was tasked with planning and leading audits that reviewed the KYC process for all CIB customer types that were being remediated as part of an OCC driven consent order. This included the review of globally enhanced policies, the due diligence process, and PEP/Negative News screening process.
  • Internal Audit
    Worked in a QA role with one of the largest European banks to review all of their annual risk assessments covering all APAC auditable areas. This included ensuring that the newly established methodology was being followed, ensuring consistency across the region between audit manager, and validating that all of the rationale contained in the assessment reports fully supported the overall risk ratings.
    Worked as Internal Audit for one of the top 5 largest financial institutions in their Private Bank line of business.
  • AML Program Enhancement
    Almost a year-long AML engagement at one of the largest US broker dealers and its affiliated bank. Managed the work steam that was responsible for enhancing and redesigning the BSA/AML/OFAC Risk Assessment Methodologies. This included performing risk assessments on the Bank Holding Company, each entity there under, and all lines of business. These entities consisted of a large retail Broker Dealer, a Registered Investment Advisor, and a bank. The work relating to the bank was undertaken while it was under a MOU issued by the OCC.
  • Compliance Risk Assessment
    Led one of the work streams that executed a Compliance Risk Management project to regulatory risk and the existing control environment for a top 5 global credit card issuer. The assessment consisted of mapping regulatory risk to products, services, and legal entities in order to determine the strength of its regulatory control environment.

Education

  • BBA – Management, Auburn University
  • Masters of Business Administration – Finance, University of New Orleans

Professional memberships and certifications

  • Certified Scrum Master
  • Certified Anti-Money Laundering Specialist (CAMS)

Industry expertise​

  • Financial Services
  • Retail & Commercial Banking
  • Private Banking & Wealth Management

Areas of expertise

  • Anti-Money Laundering
  • Risk & Compliance
  • Internal Audit
  • Project Management
  • Wealth Management
  • Customer Relations