Stephen Feldman Email & Phone Number
Principal Consultant - AML Managed Services @ ACA Compliance Group
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Stephen Feldman Location
- Melbourne, FL, US
Stephen Feldman Work
- Principal Consultant - AML Managed Services @ (September 2026 - Present)
- AML Compliance Risk Management Consultant @ (November 2024 - Present)
- Chief Anti-Money Laundering Officer (CAMLO) @ (February 2025 - September 2025)
- Chief Compliance Officer (CCO) @ (June 2022 - June 2024)
- Managing Director - Compliance; Money Laundering Reporting Officer (MLRO) @ Gen II Fund Services (January 2016 - November 2021)
- Onboarding and AML Compliance Officer (AMLCO) @ (August 2005 - July 2015)
- Private Bank Operations Manager @ (July 2002 - August 2005)
- Private Bank Operations Specialist @ (October 2000 - July 2002)
- Trading Floor Operations Supervisor, NYMEX @ New York Mercantile Exchange (NYMEX) (November 1999 - October 2000)
- Member and Active Floor Trader, NYMEX @ New York Mercantile Exchange (NYMEX) (July 1998 - November 1999)
- Senior Commodities Clerk and Supervisor, NYMEX @ New York Mercantile Exchange (NYMEX) (June 1993 - July 1998)
Stephen Feldman Education
- Brooklyn College
Undergraduate Studies (Finance)
- Kingsborough Community College
Associate of Applied Science - A.A.S. (Marketing)
- City University of New York-College of Staten Island
Undergraduate Studies (Accounting)
Stephen Feldman Skills
- Governance, Risk Management, and Compliance (GRC)
- Auditing
- Compliance Management
- Global Regulatory Compliance
- Financial Risk Management
- Operational Risk Management
- Risk Analysis
- ACH Risk & Assessments
- SOC Reporting
- Investor AML/KYC
- Regulatory Compliance
- Investor Onboarding
- Risk Management
- New Process Implementation
- System Implementations
- Private Equity
- Alternative Investments
- Hedge Funds
- Financial Services
- Financial Reporting
- ACH Compliance, Electronic Funds Transfers (EFT), FCRA Regulations, Money Services Businesses (MSB)
- AML Audits, AML Programs, Bank Secrecy Act (BSA), CIP Programs, CTF Programs
- AML Compliance
- AML Investigations
- Anti-Bribery and Corruption
- Anti-Bribery and Corruption, CCPA, DPA Regulations, FFIEC Exams
- Anti-Money Laundering
- Anti-Money Laundering Systems
- Anti-Money Laundering Trainings
- Asset Management
- Assurance Reviews
- Audit Management
- Audit Remediations, CFPB Exams, FinTech Compliance
- BSA Compliance
- Bank Secrecy Act (BSA)
- Business Continuity, Code of Conduct, Conflicts of Interests
- Business Operations
- Business Process
- Canada Anti-Money Laundering Regulations
- Cayman Islands Anti-Money Laundering Regulations
- Client Onboarding
- Compliance Analytics
- Compliance Budgeting and Forecasting
- Compliance Budgeting, Fraud Detection, Fraud Prevention
- Compliance Programs
- Compliance Training
- Control Validation
- Cross Border Compliance
- Customer Due Diligence (CDD)
- Customer Due Diligence, Enhanced Due Diligence, Financial Crime Prevention, Fraud Assessments
- Customer Identification Programs (CIP)
- Customer Onboarding Processes
- Customer Risk Rating Matrixes
- Document Preparation
- Due Diligence Questionnaires (DDQs), KPI reporting, KRI Reporting, Metrics Reporting
- EU Directives, FCPA Regulations, Wolfsberg Group
- Enforcement Actions
- Enhanced Due Diligence (EDD)
- European Union Directives
- FINRA Exams, OCC Exams
- FinCEN/OCC/FFIEC Regulations
- FinTech Compliance
- Financial Crime
- Financial Crimes Enforcement Network (FinCEN)
- Form ADV, Form PF
- GDPR, Privacy Regulations, Securities Exchange Act
- Governance Frameworks
- HIPAA Training, Information Security, UDAAP Regulations
- Internal Controls
- KPI/KRI Development
- KYC Programs, OFAC Screening, PEP Screening, Sanction Screening
- KYC/CDD/EDD
- Know Your Customer (KYC)
- Legal Operations
- Money Transmitters, Multi-State Licensings (NMLS), NACHA Compliance, SOC Audits, SOC Reporting
- Payment Industry
- Policies and Procedures Construction
- Policies and Procedures Drafting
- Policy Development
- Politically Expose Persons (PEP) Screenings
- QA/QC Testing
- Quality Control
- Registered Investment Advisors (RIA), Broker Dealers (B/D)
- Regulatory Audits, Regulatory Filings, Regulatory Reporting, Risk Based Assessments
- Regulatory Enforcements
- Regulatory Filings
- Regulatory Remediation
- Regulatory Reporting
- Risk Assessments
- Risk Management, Self-Assessments, Third Party Risk Management
- Risk Testing and Controls
- SEC Exams, Vendor Management
- Sanctions Screening
- Sanctions Screenings
- Simplified Due Diligence (SDD)
- Simplified Due Diligence, Transaction Monitoring, USA Patriot Act
- Team Leadership
- Transaction Monitoring
- U.S. Office of Foreign Assets Control (OFAC)
- USA PATRIOT Act
- United Kingdom Anti-Money Laundering Regulations
- United States Anti-Money Laundering Regulations
- Vendor Relationship Management
- Venture Capital
- Trading Strategies
- Presentation Skills
- Occ
- Screening
- Technical Analysis
- System Applications
- Sales
- Derivatives
- Copper
- Investor Reporting
- Mentoring
- Finance
- Foreign Exchange
- Spreads
- Excess
- External Relationships
- Construction
- Real Estate
- Management Information Systems
- Business Requirements
- Staff Supervision
- Formulas
- Process Implementation
- Bank Secrecy Act
- Commodity
- Management
- Design
- Adherence
- Gasoline
- Private Banking
- Assurance
- Corporate Actions
- Currency
- Custodians
- Allocations
- Institutional
- Investment Management
- Keys
- Leadership
- Energy/Metals Commodities
- Heating Oil
- Cash Management
- Supervisor
- PowerPoint
- SharePoint
- Accounting
- Salesforce.com
- Bonds
- Fiserv
- Financials
- Delegation
- Settlement
- Portfolio Management
- Metals
- Capital Markets
- Crude
- Forecasting
- Troubleshooting
- Bloomberg
- Relationship Management
- Quality Assurance Processes
- Strategy
- Family Office
- Reconciliation
- Microsoft Office
- Compliance Regulations
- FINRA
- Microsoft Excel
- Training
- Oil Trading
- Distributors
- Disaster Recovery
- External Clients
- Brds
- Silver
- Nymex
- Documentation
- Project Management
- Staff Training and Development
- Service Providers
- Reporting
- Middle Office
- Options
- Financial Markets
- Clerks
- SAP
- CIP
- Fixed Income
- RFP
- Fundamental Analysis
- Advent
- Specs
- Relational Databases
- Client Services
- Web Development
- CDD
- Internal/External Audit
- RFI
- Customer Relationship Management
- Strategic Planning
- Usability
- Operations
- Account Maintenance
- Research and Analysis
- Macro
- Microsoft Access
- Investors
- Sma
- Process Efficiency
- Liquidity
- Time Management
- Change Management
- Liquidation
- Pep
- SQL
- Investment Banking
- Training Programs
- Trading Systems
- ETFs
- SEC Regulations
- Data Integrity
- Brokers
- Financial Operations
- Regulations
- Banking
- Client Relations
- Screenings
- Fund Administration
- Data Management
- Resources
- Tax
- Data Governance
- Reviews
- Investments
- Prime
- FATCA
- Vendor Management
- Prime Brokerage
- OFAC
- Database Maintenance
- Software
- Equities
- Mutual Funds
- Outlook
- Resolving Issues
- Microsoft Word
- Securities And Exchange Commission
- Business Continuity
- Parties
- Launches
- Analytical Skill
- Software Implementation
- Defined Benefit
- Financial Analysis
- Onboarding
- Decision Making
- Investor Relations Support
- Back Office
- Liaison
- Interpersonal Skills
- SaaS
- Data Maintenance
- Appraisals
- ERISA
- Due Diligence
- DRP
- Trading
- Staff Development
- Problem Solving
- Filing
- Mandates
- Operational Due Diligence
- KYC
- Office Operations
- Futures/Options Trading
- Traders
- Securities
- Hedge Fund Of Funds Operations
- DBMS
- Writing
- Acts
- SEC
- Consulting
- Anti Money Laundering
- Conventional
- Community
- Business Networking
- Serving
- Executive Positions
- Quality Auditing
- Private Investments
- Assessment
- Mercantile
- Webinars
- Funding
- CRM
- New Initiatives
- Loan Servicing
- Gen
- Information Systems
- Fund Services
- Coordinated
- Lean Manufacturing
- Process Efficiencies
- Seminars
- System
- Sage Act
- Fund of Funds
- New Process
- User Acceptance Testing
- Geneva
- Testing
- Policy
- Dialogues
- Conferences
- CAMS
- System Monitoring
- PMP
- REIT
- Sanction
- Written
- Certified Anti Money Laundering
- Commodities
- C
- Applications
- Floors
- Debate
- Private Bank
- Social Housing
- Brooklyn
- Business Development
- Active
- SFDC
- Risk Assessment
- Marketing
- Black Belt
- Multi Faceted
- Sarbanes Oxley Act
- Internal Audit
- Six Sigma
- Usa
- Policies and Procedures
- FinCEN
- Microsoft Exchange
- New York
- Connectivity
- Guidelines
- Managing Accounts
- Compliance
- Terrorist Financing
- Scanners
- Directives
- Financial Transactions
- Dodd Frank
- Databases
Stephen Feldman Summary
- Stephen Feldman, based in Melbourne, FL, US, is currently a Principal Consultant - AML Managed Services at ACA Group. Stephen Feldman brings experience from previous roles at Auxilium Compliance, LLC, Compliance Risk Concepts (CRC), PrimePay and Gen II Fund Services. Stephen Feldman holds a Undergraduate Studies in Finance @ Brooklyn College. With a robust skill set that includes Governance, Risk Management, and Compliance (GRC), Auditing, Compliance Management, Global Regulatory Compliance, Financial Risk Management and more. Stephen Feldman has 2 emails and 1 mobile phone numbers on RocketReach.
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