Open to opportunities

Michael Lukaj

@michaellukaj

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Senior compliance consultant specializing in regulatory exams, controls uplift, and governance modernization.

United States

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What I'm looking for

I seek senior compliance roles where I can lead exam readiness, controls uplift, and governance modernization while advising senior management and driving remediation.

I am a senior compliance consultant with 20+ years advising global banks, asset managers, and registered advisers on regulatory exams, issues management, surveillance, and governance modernization. I have led rapid stabilization efforts as a multi‑firm CCO and delivered exam‑ready materials with minimal ramp‑up, working with firms such as Citi, UBS, and Mizuho.

I strengthen risk and controls frameworks, lead controls uplift and RCSA enhancements, and partner with business, legal, and ICRM to resolve exam‑related issues. My background includes hands‑on oversight of SEC, FINRA, and OCC exams, AML/KYC advisory, and governance advisory to senior management.

Experience

Work history, roles, and key accomplishments

Current

Senior Risk & Controls Consultant

Current

Mizuho Financial Group

Jan 2023 - Present (2 years 11 months)

Strengthened governance and risk frameworks in the COO organization by leading controls uplift, refreshing regulatory documentation, and enhancing RCSA to improve exam readiness and issue remediation.

Governance Regulatory Compliance Monitoring Regulatory Exams

Senior Compliance Consultant

UBS

Jan 2022 - Jan 2023 (1 year)

Supported Global Wealth Management compliance modernization by enhancing testing and surveillance governance and contributing to cross‑review documentation uplift to align with regulatory expectations.

Testing

Senior Compliance Consultant

Citi

Jan 2020 - Jan 2021 (1 year)

Provided advisory support across risk and controls, documentation, and issues management including exam response assistance, regulatory reporting, and strengthening monitoring/testing procedures across business units.

Risk Control Regulatory Reporting Monitoring Documentation ICRM Collaboration

Deputy Chief Compliance Officer

Credit Suisse Asset Management

Acted as Deputy CCO providing oversight of compliance activities, regulatory coordination, and controls enhancement across asset management operations to support firmwide compliance objectives.

Compliance Management Regulatory And Control Enhancements Regulatory Exams Risk Assessment

Chief Compliance Officer

City National Rochdale

Served as Chief Compliance Officer overseeing compliance program strategy, regulatory engagement, and governance for the firm to ensure adherence to SEC and industry requirements.

Governance Surveillance

Chief Compliance Officer

Columbus Circle Investors

Led the compliance function as CCO, establishing surveillance, AML/KYC guidance, and regulatory change processes to maintain examination readiness and manage regulatory relationships.

CCO Leadership KYC Surveillance Regulatory Change Exam Readiness Compliance Monitoring