Reducing the Risks and Costs of Regulatory Compliance

MANAGEMENT TEAM

Patrick Kelly – President & CEO

Patrick is co-founder of The Mizen Group, with more than 25 years experience in developing and managing complex top tier global banking, securities and insurance projects.  He has developed business strategies for a number of companies in the technology arena for securities settlement applications, compliance, on-line training and development, data analytics and integration services.  Among his accomplishments, he led a technology review and assessment related to the Office of Foreign Assets Control (OFAC) and Anti-Money Laundering (AML) capabilities for a global bank under regulatory review, and implemented a data analytics capability to detect anomalies in USD clearing for Correspondent Banks.

Patrick also served as the Banking Operations and Technology expert supporting the DFS appointed Monitor for a Global Banking Group, with overall responsibility for examining and reporting on the Correspondent Banking technology capability, sanctions screening and AML alert generation and clearance.  In addition, using proprietary tools to detect suspect transactions, he spearheaded a review of the international network of the bank, visiting 18 countries to complete reviews in KYC, AML, policies and procedures and technology operations

Previously Patrick worked for a number of leading consulting firms, including as a principal in Deloitte Consulting’s Financial Services practice, responsible for Deloitte’s China practice and extending it into APAC, among other responsibilities.

He also served as a senior manager with Coopers & Lybrand (PricewaterhouseCoopers) in its Boston office and as Senior Consultant for Citi Consultants in London.  He began his career in Retail Banking in Ireland with Allied Irish Banks plc.

Patrick Kelly
Paul McCarthy – Chief Technology Officer

Paul is a co-founder and CTO of The Mizen Group.  He has almost 20 years’ experience in delivering large, complex and diverse technology, analytical and governance data-driven projects across multiple sectors including healthcare, hospitality and financial services.  As a senior technologist and strategist, he has deep experience that has resulted from the vast array of the roles he has held, both full-time and in an advisory capacity.

Paul led a team to perform independent oversight and validation of an AML system for the DFS appointed Monitor for a Global Banking Group, using proprietary tools and algorithms to detect suspect transactions and support a review of the international network of the Bank.

He previously served as the owner of Business Intelligence (BI) Solutions, Inc., a firm focusing on providing consulting services to clients in the areas of Enterprise Architecture, Business Intelligence, Data Governance, Integration, CRM and Data Analytics.  Prior to that he worked for EMC Corporation, driving BI and analytic strategies and project delivery across the enterprise.

Deepa Keswani - Director, Advisory Services

Deepa Keswani is a Partner and Director, Compliance Advisory at The Mizen Group. She has over 20 years experience in the compliance space and leverages her years in compliance management to offer clients quality advice on AML and other related practices.

Deepa began her consulting career in 2015, partnering with firms to offer subject matter expertise and AML project execution to financial institutions. Her specialty is offering advisory / hands-on support on compliance programs and processes and partners with professionals to offer subject matter expertise, project management and managerial support.

Formerly, as a senior compliance executive at Commerzbank, she managed the New York Branch’s Compliance department for six years before leading an expanded AML, Anti-Fraud & Sanctions department in New York as Head of Financial Crimes in 2009. In 2014, she took on the role of Head of Regulatory Compliance managing the Branch’s regulatory relationships and working with the authorities on the coordination, organization and management of various exams and reviews.

Deepa participates in panel discussions in AML related forums and lectures at Pace University’s Lubin School of Business/Center for Global Governance, Reporting & Regulation for the MBA credentialed program Certified Compliance and Regulatory Professional (CCRP).

She is CAMS certified and a member of ACAMS, the ACAMS NY Chapter, the Association of International Bank Audit and Compliance Professionals (AIBACP), Midtown Regulatory Group and the Compliance Peer Roundtable. She is also a member of the Financial Women’s Association and its Directorships & Corporate Governance Committee.

ADVISORS

Tom Butler

Dr Tom Butler is  Professor of Information Systems and Regulatory Technologies at UCC. A former Government of Ireland Research Fellow, Tom is Principal Investigator (PI) of the GRC3 (GRC Technology Centre 2013-2018), PI of the SmaRT and SamRT4Reg Commercialization Fund Projects and PI of two Marie Sklodowska-Curie Career-FIT Fellowships in AI. Tom’s has €8,658,332 in research funding and 219 publications, which includes 73 full papers, 84 conference papers, and 11 inventions. Tom’s research and scholarly experience is in:
·       Semantic Technologies for Knowledge Engineering in  AI & NLP for FinTech and RegTech.
·       Digital Regulatory Reporting at the Bank of England and the Financial Conduct Authority.
·       Governance, Risk Management and Digital Regulatory Compliance.
·       Business & Risk Taxonomy Development—Operational, AML and Conduct Risk.
·       Data Modelling, Virtualization, and Predictive Analytics.
·       Digital Law and Legal Knowledge Management.
Tom is a member of the European Commission’s Expert Group on Regulatory Obstacles to Financial Innovation (ROFIEG), the RegTech Council, and a Member of the Financial Industry Enterprise Data Management Council (EDMC).

Linda Lerner

Linda Lerner is Senior Counsel at Crowell & Moring and a member of the Corporate, Financial Services and White Collar & Regulatory groups in C&M’s NY office.  She is highly experienced in responding to regulatory and compliance issues relating to anti-money laundering requirements, public and private sales of securities and broker-dealer formation, operation and reporting requirements.  She also has extensive experience with cybersecurity and privacy regulations applicable to financial institutions.

She is an active voice in the financial services industry and works with senior regulatory officials on rule development and interpretation in a variety of areas.  She has served on multiple committees for FINRA and Nasdaq, is the Chair of the American Bar Association Task Force on Private Placement Brokers, and is the facilitator for the Midtown Regulatory Group, a group of senior legal and compliance officers of broker-dealers and investment advisors.  Linda speaks and writes frequently on topics of interest to financial institutions.

Peter Oakes

Peter is a non-executive director of regulated financial services companies and Regtech and Fintech companies. He also sits on the advisory committee of a number of Fintech/Regtech entities. Peter consults on Fintech/Regtech, financial services regulation, enforcement and business strategy. He was a Director at The Central Bank of Ireland where he was a proponent of new technology to provide less friction, more efficiency and greater innovation in Irish financial services.