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Stephen D. Marshall
Principal
OVERVIEW
Steve
is the Executive Vice President and co-founder of ADI Compliance
Consulting, Inc. Areas of expertise include: anti-money
laundering programs, corporate governance, risk management
systems, compliance management systems, fair lending/CRA and
privacy. He has more than twenty years experience in financial
institutions working for three commercial banks ranging from $5
billion to $50 billion in assets.
Before
becoming president of ICRM Services, Ltd, Steve held a
position as Senior Vice President and Risk Manager for a $5
billion bank in Washington,
DC. In that capacity, Steve managed the Internal Audit,
Loan Review, Compliance, Security, Information Security, and
Contingency Planning functions.
Risk Management
Steve has a broad background in Risk Management; the
methodical process of identifying, measuring, monitoring and
controlling specific risks inherent in a business or actual
business transactions. The risk management systems ADI develops
under Steve’s leadership encompass an assessment of risks
external to an organization as well as risks internal to the
organization. Additionally, these risk management systems
incorporate sound key risk indicator programs, management
reporting processes and effective systems of internal control.
Compliance Management Systems
Steve has also developed and successfully implemented
compliance management systems that, among others, address the
compliance risks associated with anti-money laundering
regulations, consumer compliance regulations, and compliance
with business resumption requirements for
U.S. financial
institutions. Steve has specific expertise implementing CRA and Fair Lending Compliance programs and systems.
Corporate Governance
Board involvement is essential to
effective risk management and compliance systems. Steve
has developed key risk indicator programs and management
reporting processes that enable the Board of Directors to
properly exercise their oversight responsibility ensure risk
tolerance levels are not exceeded without appropriate
acknowledgement.
Foreign Training and Assistance Experience
During his career, Steve has participated in many
programs to provide training and technical assistance to leaders
of emerging democracies. These have been conducted both here in
the United States
as well as in various host countries. The programs have been in
conjunction with State Department and U.S. Customs, bank
regulatory agencies, and Financial Services Volunteer Corp (FSVC).
EDUCATION
Steve has a BA in Economics from Bates
College. He has also attended ABA, National Compliance School
and Graduate Compliance School. He is a certified member of the
Association of Certified Anti-Money Laundering Specialists.
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