Arthur Bassett

Principal, Cybersecurity Consultant at Fidelity Investments

North Smithfield, RI, United States

Details

Education: BS

Accounting

Bryant University

1990 : 1993

Experience: 2021 : Present

Fidelity Investments

Principal, Cybersecurity Consultant

2014 : 2021

Fidelity Investments

Senior Technology Risk Analyst

• Provide 2nd line of defense audits of various business unit functions to locate gaps in regulatory processes.

• Execute audit reviews within the larger enterprise compliance plan.

• Monitor and ensure compliance with OCC MOU orders.

2014 : 2014

Citizens Financial Group, Inc.

Sr. Compliance Assurance Officer

• Work onsite with business unit contacts to assess compliance processes and identify potential deficiencies

• Perform assessments of effectiveness of controls through data analysis, observation and executing interviews with colleagues within the business.

• Define recommendations for Sr. Management as to effectiveness of controls and resolutions for deficiencies that may directly impact the operational activities of the assigned business lines.

• Assess and provide direction on compliance assurance for all assigned business lines within RBS CFG as it relates to external regulatory requirements.

2012 : 2014

Citizens Bank

Compliance Assurance Officer

Daily supervision of a fast paced AML Sanctions Team performing client screening and ad hoc reporting. Providing guidance to colleagues within the AML operations group as to best practices.

Participation on group projects and oversight of operational standards as well as documentation of those standards in preparation of internal and external auditors .

2012 : 2012

Royal Bank of Scotland

OFAC/AML Compliance Analyst III - Supervisor

Company: Fidelity Investments

Years of Experience: 25

Skills AML, AML/OFAC Operations, Analysis, Anti Money Laundering, Auditing, Banking, Business Analysis, Business Process Improvement, Contract Negotiation, Enterprise Compliance, Finance, Financial Risk, Internal Audit, Investments, KYC, Management, Mutual Funds, Operational Risk, Process Documentation & Improvement, Process Improvement, Project Management, Regulations, Regulatory Oversight, Risk Management, Vendor Management

About More than 20 years experience in financial services excelling in risk and compliance roles with a thorough understanding of current issues and trends. I have several years audit experience and most recently have been gaining experience performing systems/controls assessments.

Specialties: General Risk/Compliance, Regulatory Compliance including analytics, AML/OFAC Operations Compliance, CIP and KYC, Offshore Mutual Funds, Negotiation, Fund Distribution, Broker Dealer Compliance, Comingled Pools, Retirement Administration