Ashley Glodde

What can I do for you?

I specialize in assisting our clients in the financial sector with Anti-Money Laundering (“AML”), Sanctions, and Regulatory Compliance services. I have a strong background in financial crimes with over 12 years of industry experience with a wide range of global and US financial institutions. Since joining KPMG in 2011, I have supported our clients with the design, implementation, testing, and enhancement of their financial crimes compliance processes and controls.

Sample Professional and industry experience

I led a project at a top 5 US financial institution to redesign and simplify the KYC standards, procedures, questionnaires, and corresponding system rules logic, across 38 jurisdictions, to develop an approach which supported improved usability and customer onboarding and KYC refresh review efficiencies. We performed a current state assessment of the applicable Financial Crimes Compliance Enterprise and Country Standards/Procedures and corresponding KYC system rule logic to identify any gaps and/or opportunities for simplification. We then evaluated if the KYC documentation was in line with local Laws, Rules, and Regulations in each jurisdiction, provided recommendations for enhancements and/or the removal of requirements, and redesigned the format of the KYC documentation.

I enhanced a prominent regional financial institution’s Enterprise AML and OFAC Compliance Program, as well as related business processes, in response to critical issues noted by the Office of the Comptroller of the Currency (OCC). Process improvements focused on the areas of Customer Identification Program (CIP) and due diligence information collection and transmission through business line systems. Developed systematic tools to support the fulfillment of regulatory requirements, including for account restrictions and triggering events, and prepared closure packages for submission to the OCC.

I have conducted numerous quality assurance and control engagements. Most recently, I managed a team of a approximately 20 professionals to assist a large U.S. financial institution with the development and implementation of their KYC quality assurance program. I also assisted a large regional bank with evaluating and designing AML quality control testing procedures across the First and Second Lines of Defense, including: recommendations around program scope, testing frequency and depth, sample sizing and selection, roles and responsibilities, issue identification and escalation, and reporting of testing results to key stakeholders.

I have performed multiple independent tests of BSA/AML, Sanctions and Fraud compliance programs for large financial institutions, both in preparation for examinations and in response to violations and deficiencies identified by the U.S. regulator. My reviews included assessments of policies and procedures, extensive interviews and process walkthroughs with relevant client personnel, and risk-based testing to assess compliance with various regulatory requirements.