Thaedra Frangos (ファイドラ フランゴス)

Experience

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  State of New Jersey

  Sept 1995 - Aug 2012

  Criminal Forensic Auditor

  Developed, conducted, managed, and participated in complex investigations of alleged violations of NJ Tax Statutes and NJ Criminal Code. Prepared and executed search and arrest warrants, subpoenas, asset freeze orders, and forfeiture orders; and collected, cataloged, and secured essential forensic audit files, records, and evidence utilizing the Rules of Evidence. Performed physical and electronic surveillance of defendants and other principals and completed comprehensive threat and networking assessments of embedded domestic inter-State terrorist organizations to develop actionable intelligence for investigations resulting in successful criminal prosecutions. Prepared criminal forensic audit, investigative, and prosecution reports for Assistant Prosecutors, Deputy Attorney Generals and/or Assistant United States Attorneys; and testified as a government witness before Grand Juries, at hearings, and during criminal trials. Developed and maintained successful relationships during joint investigations between the private and governmental-sector (e.g. the Recording Industry of America, HSI, New Jersey State Police, and the NJ Office of Homeland Security and Preparedness) and identified, secured, and recovered millions of dollars in counterfeit goods and intellectual property. Show less

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  US Department of Homeland Security

  Jan 2007 - Aug 2013

  Task Force Officer - Homeland Security Investigations

  Successfully investigated crimes pertaining to counterterrorism; money laundering; narcotics and weapons trafficking; and export enforcement issues. Provided financial crime expertise during other HSI investigations, including those aimed at protecting critical infrastructure industries that are vulnerable to sabotage, attack, or exploitation. Through integrating and disseminating information between federal and state databases and agencies, ensured successful prosecutions on the State and federal level. Show less

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  New Jersey State Commission of Investigation

  Aug 2013 - Sept 2015

  Investigative Agent - Lead Financial Investigations Role / Gangs and OC Unit

  Through detailed fact-finding investigations, preformed regulatory stress tests to identify and expose governmental weaknesses susceptible to corruption, waste, fraud and abuse; specifically focusing on the methods of financing organized crime and terrorism. Interviewed complainants, defendants, and other principals; and recruited confidential informants to develop actionable intelligence in criminal cases. Successfully gathered intelligence from classified and unclassified sources for trend analysis and utilized intelligence to create informative reports for Commission Counsel to base legislative recommendations upon. In compliance with BSA guidelines, performed comprehensive searches of FinCEN’s database to further ongoing investigations. Provided testimony during public hearings and assisted in the preparation of public reports and Legislative recommendations for Statutory and Administrative law changes. Show less

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  Goldman Sachs

  Sept 2015 - Sept 2016

  Vice President in Financial Crime Compliance: AML, Sanctions & Anti-Bribery

  Ensured compliance with the Firm’s enterprise-wide compliance programs through preforming enhanced due diligence and sanctions screenings. In addition to investigating potential terrorist financing, money laundering, market manipulation and abuse, and other suspicious activity; provided real-time transaction-based approvals for certain Firm clients and high-risk jurisdictions. Gathered and preserved evidence according to applicable Firm, legal, regulatory, and law enforcement rules of custody and disclosure upon 314(b) request and/or receipt of civil, regulatory, or criminal subpoenas. Worked closely with each business line to guarantee compliance with regulatory requirements, internal audits, and regulatory exams (such as the OCC, the SEC, the Federal Reserve and FINRA). Show less

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  HSBC

  Sept 2016 - Mar 2018

  VP Financial Crime Risk Assurance, Canada and Latin Americas Region

  Provided leadership as a subject matter expert for complex money laundering typologies to guide colleagues in making well-informed, collaborative decisions. Assumed the lead-role in the synchronization between countries, regions, and Global colleagues while acting as the primary liaison with Threat Mitigation teams to guarantee coordination in control testing. To ensure globally consistent reporting, worked with the testing teams to accurately identify the key controls and processes and ensure an effective testing methodology was developed. Provide constructive challenge of issues and proposed actions during the review and confirm remedial actions were fit for purpose. Assisted in the design, coordination, and aggregation of reporting to ensure consistent reporting methodologies; and enforced implementation of Global standards to guarantee the Target Operating Model was operating reliably. Specific to Annual Planning, assist in providing a risk-based perspective and the ongoing prioritization of reviews to ensure the most critical controls are tested. Show less

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  MUFG

  May 2018 - now

  Global Financial Crimes Department, AML - Trade Finance Advisory

  In a global capacity, I ensure adherence to the requirements designed to mitigate FinCrime risks while trade finance transactions are processed. In part, this includes assessing red flags detected during transaction processing and/or the enhanced review processes, as well as reviewing and dispositioning trade transactions escalated by regional SMEs to ensure transaction-specific due diligence is in place for the trade product and required parties. On an ongoing basis, I receive, analyze, and report trade product red flags to ensure the Bank’s local and regional FinCrime offices are identifying risks and established red flags remain fit for purpose. Additionally, actively support the regions in implementing the Global Trade Finance Framework (GTFF) and corresponding regional Toolkits. In addition to writing an Operating Manual for GAML Trade Advisory, I perform ongoing monitoring and advisement on relevant policy controls and processes to ensure pertinent data is provided to my colleagues in the High-Risk Review and Sanctions teams. Previously, as a Regulatory Governance and Oversight Lead, I created and executed a governance structure and operational environment to successfully manage validation of U.S.-based regulatory engagements to ensure a globally consistent approach. Manage a fluid team of approximately 25 individuals for regulatory reviews and validations (i.e., design adequacy, interim testing, operational effectiveness and sustainability). Responsibilities include: review & non-objection to Action Plans/Success Criteria; review & challenge of closure materials; staffing capacity analysis; develop Test Scripts and RFI oversight; in-flight validation QC; draft and issue Final Reports; status updates; MI&R for Senior Management and outside regulatory stakeholders. Show less