CAITLYN JOHANNESEN

I’m a Compliance Manager with 8+ years of experience leading enterprise-wide AML/KYC and regulatory compliance programs within financial services, including fund administration and proprietary trading. I support 20+ investment funds and 1,000+ investors, with day-to-day accountability for FATCA/CRS reporting, sanctions screening, and enterprise risk assessments across U.S. and Cayman Islands regulatory frameworks.

Most recently, at LANGHAM HALL, I built and led the compliance function for a fund administration firm—developing policies, procedures, and training programs to strengthen governance and regulatory adherence. I designed AML/KYC onboarding frameworks for 20+ fund clients, implemented Enhanced Due Diligence for high-risk entities and offshore structures, and delivered AML/KYC and sanctions compliance training for 50+ staff and fund stakeholders.

I directed FATCA/CRS reporting for 5+ investment funds, ensuring timely filings through the Cayman Islands DITC portal and maintaining 100% on-time regulatory submissions. I also conducted enterprise-wide risk assessments and implemented internal controls aligned with AML regulations, BSA, OFAC, and CIP requirements.

Previously, at FLOW TRADERS, I oversaw AML/KYC compliance for proprietary trading, including client due diligence, sanctions screening, and escalation of suspicious activity in line with SEC and FINRA requirements. At Bank of America Merrill Lynch, I led data quality remediation initiatives that improved tax reporting accuracy by 40% and reduced processing errors by up to 80%, strengthening FATCA and regulatory reporting controls while serving as an AML subject matter resource.