Sue McNeish Bond

Strategic Financial Crimes and Regulatory Compliance leader with more than 16 years of experience leading complex AML investigations, regulatory compliance programs, and enterprise risk initiatives across global financial institutions. Proven success advising senior leadership on regulatory risk, partnering with Legal, Audit, and Risk, and ensuring compliance with SEC, FINRA, BSA/AML, OFAC, and internal governance requirements. Recognized for strengthening compliance programs, mentoring high-performing teams, and delivering practical, risk-based solutions in highly regulated environments.

Associate Director, Financial Crimes Compliance - UBS - Nashville, TN

(2017-08 - 2026-06)

Led complex financial crimes investigations involving AML, sanctions, fraud, and high-risk client activity across multiple jurisdictions.

• Conducted more than 150 high-risk investigations annually involving suspicious activity, transaction monitoring, CDD, EDD, and sanctions compliance.
• Partnered with Legal, Compliance, Risk, Audit, and business leadership to ensure compliance with SEC, FINRA, and internal regulatory requirements.
• Performed risk-based reviews and surveillance activities to identify emerging compliance risks and strengthen internal controls.
• Supported broker-dealer and investment adviser compliance programs through regulatory interpretation and policy guidance.
• Assisted with regulatory examinations, internal audits, and remediation initiatives.
• Contributed to Written Supervisory Procedures (WSPs), compliance policies, governance documentation, and process improvements.
• Provided regulatory guidance to business partners on conflicts of interest, employee activities, and regulatory expectations.
• Mentored investigators and promoted consistent, high-quality investigative and compliance practices.

AML Subject Matter Expert – Transaction Monitoring - Standard Chartered - Dallas, TX

(2016-08 - 2017-08)

• Conducted complex transaction monitoring investigations and regulatory look-back reviews.
• Analyzed unusual customer activity and escalated potential financial crimes risks.
• Collaborated with compliance partners to support regulatory reporting and risk mitigation.

Senior AML Investigator – CDD/EDD - Wells Fargo Securities - Charlotte, NC

(2015-02 - 2016-08)

• Performed enhanced due diligence and investigations for high-risk clients.
• Completed sanctions, adverse media, and AML risk assessments.
• Provided investigative recommendations supporting regulatory compliance obligations.