Chris Rowland is a Senior Managing Director at Ankura based in Dallas. Chris has 25 years of executive leadership experience in the financial services industry, having worked in capital markets, wealth management, and correspondent banking environments. He has specialized in risk management and Bank Secrecy Act compliance.
Chris’ professional experience includes:
- FDIC fraud case: subject matter expert and Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) requirements review. Large bank institution, engagement included BSA-AML program assessment, internal controls review, governance, and reporting adequacy.
- Money Service Business: AML investigative support. Provided outsourced investigative support necessary to address backlog of alerts.
- Global Trading Company: risk management assessment of derivate trading products, limits, exposures, and controls. The Ankura assessment outlined the need for an overhaul of the entire internal controls, segregation of duties, and governance structures.
- Broker-dealer fraud case: subject matter expert review of trading activities, liquidations, and transfers. Assessment of FINRA violations and AML compliance.
- Global Correspondent Bank: AML remediation. Managed critical aspects of the BSA/AML remediation program, including risk assessment, detection scenario analysis, tuning, and testing. A remediation team was established to support alert investigations and Suspicious Activity Report (SAR) preparation. Implemented quality controls and reporting metrics for alert effectiveness and efficiency.
- Global Private Bank: as the regional chief operating officer, managed regulatory turnaround of the securities and banking platform operating under Federal Reserve oversight. Established risk management and governance oversight programs the wealth management activities. Led complex investigations associated with client asset fraud. Managed portfolio management investment accounts and IRA product offerings.
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