Nicholas Francis

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Nicholas Francis

Principal

Nicholas provides regulatory, compliance, and governance advice to international financial institutions.

Experience

Nicholas specializes in AML and OFAC-sanctions compliance. He has led teams of analysts conducting forensic reviews for both international and domestic financial institutions. Nicholas has created policies and procedures documents, conducted benchmarking assessments, and delivered training sessions for clients in suspicious-activity reporting and sanctions compliance. He has previous experience in project management, recruitment, and marketing.

Education

  • B.A., French and German, cum laude, University of Nottingham


Affiliations, Awards, and Civic Engagements



Representative Engagements

  • Conducted forensic reviews of international wire transactions and delivered training sessions for clients on compliance with the Bank Secrecy Act and other anti-money-laundering laws and Office of Foreign Assets Control sanctions.
  • Conducted a benchmarking assessment to help an international financial institution adopt industry best practices in transaction monitoring and BSA/AML controls.
  • Served on quality-control teams for filing suspicious-activity reports.

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