Jc Berrios

Background

About Jc Berrios

I am a Regulatory Compliance Associate working in private equity with experience in Compliance, Risk Assessment and Anti-Money Laundering. My work experience includes performing enhanced due diligence (EDD) of high risk clients from high risk industries and jurisdictions and Know Your Customer (KYC) regulation. I have experience managing Office of Foreign Asset Control (OFAC) client reviews and Sanctions Programs compliance. I am a Certified Anti-Money Laundering (CAMS) specialist in addition to my years of experience. In my current role, I work to mitigate the risk of the Firm through ownership of our risk matrix testing efforts. I perform regulatory Finra and SEC filings overview, including ADV, ADV-E, and Form PF. I also conduct risk assessment functions related to Code of Ethics compliance, including personal security trading disclosures and restrictions for Restricted List and MNPI. As part of the Compliance team, I assess, review and train Firm access persons on Firm policies and procedures. I work with the CCO to oversee the Firm’s AML and Sanctions programs, overseeing KYC/AML at onboarding and ongoing monitoring. Working with the business development team, I have ownership of the review and approval of RFPs and marketing material to ensure Marketing Compliance with SEC Final Rule and internal guidelines. I have software expertise with Actimize, Seismic, RFPIO, LexisNexis, Schwab Compliance Technologies (SCT), Compliance Link, ComplySci and OFAC alert system. Working fluent languages: English, Portuguese and Spanish