Romain Ngassaki
Compliance & Forensic Investigator | Securities Law & Financial Regulation Specialist
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About
Conducted AML/CFT program reviews, fraud investigations, and litigation support. Reviewed KYC procedures, PEP/high-risk account policies, SAR escalation, hotline/internal investigation frameworks.
Experience
AML Compliance Analyst / Forensic Investigator - Ernst & Young – Forensic & Integrity Services - Charlotte, NC
(2020-01 - 2024-12)
Conducted AML/CFT program reviews, fraud investigations, and litigation support. Reviewed KYC procedures, PEP/high-risk account policies, SAR escalation, hotline/internal investigation frameworks.
- Major engagements: FEMA compliance reviews (City of Los Angeles, Montefiore Medical Center), LIPA storm recovery forensic audits, Amex Carte France AML investigation, Blackbaud ransomware breach
Contractor - Synergy Legal Staffing (Contractor for EY) - Charlotte, NC
(2020-01 - 2020-12)
- Document review, due diligence, forensic compliance support
Litigation Support / AML Compliance Specialist - Integreon Managed Solutions - Charlotte, NC
(2018-01 - 2018-12)
- Litigation support, AML compliance, data breach investigations (Perdue Pharma)
eDiscovery Document Review Analyst - Epiq/DTI Inc. - New York, NY
(2018-01 - 2018-12)
- eDiscovery document review, litigation support, due diligence
Licensed Agent and Compliance Assistant - New York Life Insurance Company - Queens, NY
(2015-01 - 2016-12)
- AML compliance reviews, insurance risk assessments
District Manager - Lion Credit and Capital - Queens, NY
(2015-01 - 2015-12)
- Loan processing, risk assessment, underwriting support
Associate Managing Director - NAT-AFRICA Consulting - Pointe-Noire, Congo
(1998-01 - 2010-12)
- Business intelligence, government risk advisory, compliance, tax
Education
Doctor of Juridical Science - Law - Widener University – Delaware Law School (2023-01 - 2026-12)
LLM - Business Law, Compliance & Regulatory Analysis - Widener University – Delaware Law School (2019-01 - 2019-12)
Graduate Certificate - Financial Market Compliance - Kent Law School (2017-01 - 2017-12)
Certificate - Corporate Governance - Tulane School of Law & Universities Alliance
Maîtrise en Droit - Law - University of Brazzaville School of Law
