Open to opportunities

Nicholas Brandle

@nicholasbrandle

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I am a governance and AML compliance specialist driving risk mitigation.

United States

Message

What I'm looking for

I seek a governance or AML compliance role where I can lead risk mitigation, improve controls, and deliver clear reporting. I prefer collaborative, regulatory-driven teams with opportunities to streamline processes and develop colleagues.

I am an AML and governance-focused compliance professional experienced in designing and executing controls across financial services and corporate environments. I specialize in translating regulatory requirements into practical programs that reduce risk and ensure adherence.

At JP Morgan Chase and other firms I coordinated AML/KYC program development, led strategic initiatives, and produced high-quality documentation to meet regulatory obligations. I manage project timelines and stakeholder communication across legal, risk and business teams.

Technically, I perform enhanced due diligence, third-party oversight, audits, and regulatory reporting while using SQL and data-driven reporting to support decision-making. I also evaluate controls, oversee remediation, and maintain compliant record retention.

I bring meticulous attention to detail, an analytical mindset, and a pragmatic approach to compliance challenges. I am eager to join a team focused on strong governance, process improvement, and measurable risk reduction.

Experience

Work history, roles, and key accomplishments

Current

Governance Specialist

Current

IQ Ventures

Sep 2024 - Present (11 months)

Manage governance, compliance and project tasks across executives and clients, producing reporting packages and high-quality documentation to support corrective action procedures. Oversee third-party due diligence, relationship risk evaluation, and timely publication of compliance reports.

Governance Compliance Due Diligence Documentation Project Management Records Management

Lead AML Governance Officer

JPMorgan Chase & Co.

Oct 2022 - Jul 2023 (9 months)

Coordinated design and implementation of AML/KYC compliance programs, ensuring adherence to BSA, PATRIOT Act and FINRA requirements and maintaining accurate corporate policy records. Led AML strategic initiatives, providing qualitative and quantitative insights to meet regulatory obligations.

KYC BSA Patriot Act Regulatory Compliance Policy Management Risk Assessment Project Coordination Reporting Stakeholder Engagement

Senior Quality Assurance Auditor

Upstart

Apr 2021 - Jul 2022 (1 year 3 months)

Performed quality reviews of credit analysis and operations to ensure compliance with policies and legal requirements, identified risk and process gaps, and collaborated with Compliance and Legal to implement policy changes. Measured training effectiveness using testing and quality metrics to improve agent performance.

Quality Assurance Audit Credit Analysis Compliance Process Improvement Training Evaluation

Anti-Money Laundering Analyst

Huntington National Bank

Sep 2019 - Feb 2020 (5 months)

Conducted enhanced due diligence and research on high-risk customers using public records and media, coordinated with branch staff to obtain documentation, and recommended follow-up actions including account closures when risk thresholds were exceeded. Prepared reports and used SQL for data gathering.

AML OFAC Documentation SQL Reporting Communication

Financial Analyst, Fraud & Asset Protection

L Brands

Jan 2018 - Aug 2019 (1 year 7 months)

Investigated fraudulent activity using audit software and CCTV, communicated findings to field partners and leadership, and identified fraud trends to mitigate corporate losses and address high-risk regions. Supported escalation and loss prevention initiatives.

Fraud Investigation Loss Prevention Data Analysis CCTV Review Reporting Trend Analysis

Anti-Money Laundering Analyst

Gabriel Partners, LLC

Feb 2017 - Sep 2017 (7 months)

Identified and escalated high-risk accounts for suspicious activity including money laundering and OFAC-sanctioned business, and ensured compliance with federal laws such as the BSA and USA PATRIOT Act. Conducted audits and coordinated reporting of financial crimes.

AML OFAC Suspicious Activity Reports Regulatory Compliance Auditing Financial Crime

Financial Analyst, Regulatory Compliance

AmTrust Financial Services, Inc.

Jan 2015 - Jan 2017 (2 years)

Maintained accurate financial reports for regulatory bureaus, performed periodic reconciliations and ad hoc reporting, and developed solutions for data reporting and report automation to improve regulatory compliance processes.