Bill Riley es director gerente Senior de Monitoreo, Cumplimiento, Seguridad Nacional, y la práctica de servicios de Inmigración y Fronterizos en la oficina de Guidepost Solutions en Washington, D.C. El supervisa contratos relacionados con el monitoreo de bancos/ medidas correctivas de asesoramiento, cumplimiento de inmigración, y controles de comercio y exportación. Durante los últimos siete años, el señor Riley ha trabajado en varios compromisos internacionales para clientes en más de 20 países. A continuación, presentamos algunos de los asuntos más relevantes:
Cumplimiento Bancario: EE.UU. y Múltiples Países En Europa y Asia
El señor Riley ha estado asistiendo a un banco con presencia mundial, cuya sede se encuentra en Europa, en la revisión y el chequeo de sus reglamentos y procedimientos de manera que cumplan con los lineamientos de la Oficina de Control de Activos Extranjeros (OFAC, por sus siglas en inglés). El alcance de esta revisión consiste en transacciones de pago, financiación del comercio, y otras transacciones de productos financieros, incluyendo el método de Know-Your-Customer o Conoce a Tu Cliente (KYC por sus siglas en inglés).
Debida Diligencia, La Ley de Prácticas Corruptas en el Extranjero y El Cumplimiento de la Cadena de Suministro: EE.UU. y Asia
El señor Riley apoyó el desarrollo de un programa de debida diligencia relacionado con el uso global de contratistas, para una compañía de consultoría internacional. Este compromiso implicó la construcción de un proceso de evaluación de riesgos, que involucra el uso de dos metodologías de investigación: la manual y la electrónica, con el fin de dar una calificación de evaluación de riesgo de cualquier contratista, previo a que este comience a trabajar para el cliente. El señor Riley ayudó a crear el programa y viajó a Asia para ayudar con el entrenamiento del personal responsable. El señor Riley continúa asistiendo al cliente en las revisiones independientes del proceso de evaluación de riesgos.
Cumplimiento de Controles Comerciales y Sanciones: EE.UU. y Asia
Como parte de un acuerdo independiente de consultoría, el señor Riley hizo parte de un equipo que dirigió la revisión de cumplimiento de sanciones de una compañía internacional. El proyecto consistió en revisar el procedimiento y reglamento existente, así como también, la supervisión de la implementación del mismo localmente. Además de la revisión, se llevó a cabo el entrenamiento de personal, revisión de sistemas de tecnología y cumplimiento de controles comerciales.
Antes de unirse a Guidepost Solutions en el 2012, el señor Riley trabajó por 20 años como Agente Especial con el grupo de Inmigración y Control de Aduanas de EE.UU. (ICE, por sus siglas en inglés) y su agencia antecesora, Servicio de Inmigración y Naturalización (INS, por sus siglas en inglés). El último trabajo que realizo con la agencia ICE fue como Asistente Agente Especial, encargado de Investigaciones de Seguridad Nacional, en la oficina de Filadelfia. Allí el supervisó una oficina residencial de agentes y otros grupos investigativos, incluyendo el de contraterrorismo, la trata de personas y el contrabando de identidad y fraude de beneficios.
El señor Riley también trabajó en las oficinas de Nueva York, Chicago, Newark, y las sedes de INS y ICE.
Financial Institutions
Monitorship
As the Sanctions Team Lead, Mr. Riley has been assisting a European headquartered global bank with the review and testing of the Office of Foreign Assets Control (OFAC) compliance policies and procedures. The scope of this review consisted of payment- based transactions, trade finance, and other financial product transactions, as well as “Know Your Customer” procedures.
Independent Advisor
As part of pre-settlement remediation, Guidepost assisted a major European banking group assess their compliance with U.S. banking and sanctions laws. This engagement involved dozens of trips to the banking group branches throughout the world and the preparation of compliance assessment reports to external counsel.
Independent External Provider
Guidepost was engaged in a multi-year monitoring engagement of a European banking group as part of their settlement with U.S. authorities. This engagement focused on the banking group’s compliance with OFAC requirements and involved extension on site reviews in several European countries.
Virtual Currency Providers
Bill has led several consulting engagements assisting both early stage and mature virtual currency service providers to build, assess, test, and enhance their BSA/AML and Sanctions compliance frameworks. This support included annual regulatory audit requirements, risk assessment development, AML and Sanctions tool testing and calibration, and creation and implementation of policies and procedures.
I-9 Compliance
Mr. Riley has assisted several major corporations with assessing and enhancing their I-9 compliance programs. These engagements involved both proactive assessments as well as reactive assistance when clients were being audited or investigated by federal regulators. Mr. Riley’s 31 years of experience in I-9 compliance and fraudulent document/identity detection have assisted clients with administrative, civil and criminal defense. Guidepost has development a significant practice in this areas and has assisted employers with high-volume I-9 reviews as well as difficult logistical engagements where our team members traveled throughout the U.S. to assist with remediation efforts.
Major Restaurant Chain
Guidepost was engaged to assist a major restaurant chain in reviewing their I-9 compliance program and to audit their completed I-9 forms. Guidepost assisted reviewing over 50,000 I-9 forms to identify both systematic issues with their I-9 tool and procedures as well as individual issues with managers repeatedly making errors on the I-9 forms. Guidepost added additional value by identifying several fraud scenarios in which workers were presenting fraudulent documents or misusing identity information of U.S. Citizens.
Agricultural Client
Guidepost subject matters experts assisted a client on a multi-year engagement by assisting with their criminal defense, revamping their I-9 compliance program, and remediation employees who had presented fraudulent documents. Guidepost assisted this client by developing and delivering a comprehensive I-9 training program which included fraudulent document training, identity theft indications and the deployment of additional tools to prevent unauthorized workers from gaining employment through fraud.
Major Logistics and Transportation Company
One of the unique aspects to Guidepost’s I-9 compliance program is our ability to get “boots on the ground” anywhere in the U.S. to assist employers with I-9 and immigration compliance issues. Guidepost assisted this client by working 24×7 shifts meeting employees in more than 100 unique locations throughout the U.S. in order to prepare or correct their I-9 forms.
Major Food Processing Company
Guidepost assisted a major food processing company by conducting third party I-9 compliance audits and document/identity fraud assessments of their contractors. As noted by ICE’s IMAGE program, one of their recommended best practices is to “Ensure that contractors and/or subcontractors establish procedures to comply with employment eligibility verification requirements. Encourage contractors and/or subcontractors to incorporate IMAGE Best Practices and when practicable incorporate the use of E-Verify in subcontractor agreements.”
International Student (SEVIS) Compliance
Mr. Riley assisted a major U.S. university with conducting an independent assessment of their SEVIS international student compliance program. This review included reviewing student files to ensure compliance with the DHS and DOS requirements for the school and for the students. The review also included recommendations for enhancements to the program as well as best practices to ensure continued compliance.
Bill Riley is president of the Compliance practice which includes the Financial Institutions and Immigration and Border Services consulting. He is also the co-head of the Washington, DC office of Guidepost Solutions. In his role overseeing the Financial Institutions practice, Bill oversees engagements relating to bank monitorships, remediation consulting and adviserships, BSA/AML consulting and auditing, and OFAC/sanctions compliance. As part of the Financial Institutions practice, he also manages BSA/AML-related compliance for virtual asset companies and virtual asset tracing investigations for victims of fraud. As the head of the Immigration and Border Services practice, Bill directs I-9 compliance and worker identity fraud investigations, work visa compliance, international student (SEVIS) compliance, and other border-related entry/exit issues. Over the past 10 years, Mr. Riley has worked on numerous international engagements for clients in more than 20 countries.
Prior to joining Guidepost Solutions in 2012, Mr. Riley spent 20 years as a Special Agent with U.S. Immigration and Customs Enforcement (ICE) and its predecessor agency, the Immigration and Naturalization Service (INS). He last served with ICE as an Assistant Special Agent in Charge of its Homeland Security Investigations, Philadelphia Field Office where he supervised a resident agent office and various other investigative groups including counter-terrorism, human trafficking and smuggling, and identity and benefit fraud. Mr. Riley also served in the New York City, Chicago, and Newark field offices as well as three separate tours at INS and ICE headquarters over his career.
Financial Institutions
Monitorship
As the Sanctions Team Lead, Mr. Riley has been assisting a European headquartered global bank with the review and testing of the Office of Foreign Assets Control (OFAC) compliance policies and procedures. The scope of this review consisted of payment- based transactions, trade finance, and other financial product transactions, as well as “Know Your Customer” procedures.
Independent Advisor
As part of pre-settlement remediation, Guidepost assisted a major European banking group assess their compliance with U.S. banking and sanctions laws. This engagement involved dozens of trips to the banking group branches throughout the world and the preparation of compliance assessment reports to external counsel.
Independent External Provider
Guidepost was engaged in a multi-year monitoring engagement of a European banking group as part of their settlement with U.S. authorities. This engagement focused on the banking group’s compliance with OFAC requirements and involved extension on site reviews in several European countries.
Virtual Currency Providers
Bill has led several consulting engagements assisting both early stage and mature virtual currency service providers to build, assess, test, and enhance their BSA/AML and Sanctions compliance frameworks. This support included annual regulatory audit requirements, risk assessment development, AML and Sanctions tool testing and calibration, and creation and implementation of policies and procedures.
I-9 Compliance
Mr. Riley has assisted several major corporations with assessing and enhancing their I-9 compliance programs. These engagements involved both proactive assessments as well as reactive assistance when clients were being audited or investigated by federal regulators. Mr. Riley’s 31 years of experience in I-9 compliance and fraudulent document/identity detection have assisted clients with administrative, civil and criminal defense. Guidepost has development a significant practice in this areas and has assisted employers with high-volume I-9 reviews as well as difficult logistical engagements where our team members traveled throughout the U.S. to assist with remediation efforts.
Major Restaurant Chain
Guidepost was engaged to assist a major restaurant chain in reviewing their I-9 compliance program and to audit their completed I-9 forms. Guidepost assisted reviewing over 50,000 I-9 forms to identify both systematic issues with their I-9 tool and procedures as well as individual issues with managers repeatedly making errors on the I-9 forms. Guidepost added additional value by identifying several fraud scenarios in which workers were presenting fraudulent documents or misusing identity information of U.S. Citizens.
Agricultural Client
Guidepost subject matters experts assisted a client on a multi-year engagement by assisting with their criminal defense, revamping their I-9 compliance program, and remediation employees who had presented fraudulent documents. Guidepost assisted this client by developing and delivering a comprehensive I-9 training program which included fraudulent document training, identity theft indications and the deployment of additional tools to prevent unauthorized workers from gaining employment through fraud.
Major Logistics and Transportation Company
One of the unique aspects to Guidepost’s I-9 compliance program is our ability to get “boots on the ground” anywhere in the U.S. to assist employers with I-9 and immigration compliance issues. Guidepost assisted this client by working 24×7 shifts meeting employees in more than 100 unique locations throughout the U.S. in order to prepare or correct their I-9 forms.
Major Food Processing Company
Guidepost assisted a major food processing company by conducting third party I-9 compliance audits and document/identity fraud assessments of their contractors. As noted by ICE’s IMAGE program, one of their recommended best practices is to “Ensure that contractors and/or subcontractors establish procedures to comply with employment eligibility verification requirements. Encourage contractors and/or subcontractors to incorporate IMAGE Best Practices and when practicable incorporate the use of E-Verify in subcontractor agreements.”
International Student (SEVIS) Compliance
Mr. Riley assisted a major U.S. university with conducting an independent assessment of their SEVIS international student compliance program. This review included reviewing student files to ensure compliance with the DHS and DOS requirements for the school and for the students. The review also included recommendations for enhancements to the program as well as best practices to ensure continued compliance.