Tatiana Pena

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Senior Risk Investigator - ODD

Mercury Technologies Inc

Jan 2025 - Aug 2025 (8 months)

Collaborate with teams to enhance due diligence program, improving compliance and reducing risk exposure.Develop QC processes for controls, ensuring accuracy and reliability in EDD and RFI.Create detailed desktop procedures, streamlining KYC/EDD operations and boosting efficiency.

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Compliance Officer

Foundry Digital

Jun 2024 - Dec 2024 (7 months)

As a Compliance Officer, I executed a comprehensive gap analysis in accordance with the Department of Justice's Evaluation of Corporate Compliance Program guidance, developing strategic improvements to ensure alignment with regulatory standards. I supported product launches by assessing compliance risks and aligning actions with key stakeholders, while also developing and implementing a customer risk rating framework to enhance our compliance posture. Additionally, I leveraged my knowledge of blockchain technology, specifically in the context of a Bitcoin mining company, to utilize TRM blockchain analytics for screening wallets, addresses, and specific transactions. This experience allowed me to effectively screen transactions for OFAC comp

Financial Compliance Manager (Contract)

Tools for Humanity

Dec 2023 - Jun 2024 (7 months)

As a Financial Compliance Manager (Contract), I led the development of a comprehensive KYC/KYB global program, ensuring alignment with regulatory demands and industry best practices. I optimized workflow efficiency through rigorous system testing and enhanced compliance workflows, successfully reducing process times by 20%. Additionally, I integrated blockchain technology into our compliance processes by utilizing elliptic blockchain analytics API to screen wallets and addresses provided by vendors prior to their onboarding in our KYB system. This innovative approach not only strengthened our compliance management but also ensured a robust framework for financial compliance within the fintech landscape.

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Manager of Enhanced Due Diligence (EDD)

Robinhood Markets Inc.

Oct 2019 - Aug 2023 (3 years 11 months)

As the Manager of Enhanced Due Diligence (EDD), I led a team of six in the FinCrimes unit, focusing on enhancing EDD programs and case investigations. I developed and delivered monthly compliance training, which significantly strengthened the team's understanding of EDD and Customer Due Diligence (CDD) processes. By coaching the team on EDD reviews, I successfully reduced escalations and investigation review time, while also analyzing team performance metrics to identify areas for improvement. I streamlined the EDD process, enhancing team accuracy and reducing error rates, all while implementing EDD procedures in compliance with BSA, SEC, and FINRA regulations. My role involved conducting in-depth analyses of high-risk customer profiles and

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Compliance AML KYC Associate Analyst II

Citibank, N.A

Jan 2018 - Oct 2019 (1 year 10 months)

Handled AML sanctions screening, identifying potential red flags and patternsConducted Enhanced Due Diligence reviews for high-risk entities

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