Sarahy Poncela

Prior to joining the Renaissance Regulatory Services team, Sarahy served as a Compliance Officer for an SEC-Registered Investment Adviser specializing in private real estate funds, mortgage pools, and whole loan products. In this role, she assisted the Chief Compliance Officer in developing a compliance program tailored to the firm’s business and risks and helped carry out the program. She conducted compliance testing reviews and assisted in the creation of internal policies and procedures. This work included reports outlining compliance obligations and responsibilities, as well as the firm’s gap analysis and risk assessment processes. Sarahy also worked with the development team to create compliance monitoring and reporting tools. In addition, she served as the point of contact during an SEC Mock Exam. In that role, she helped prepare the first-day presentation and coordinated with several departments to gather all requested materials.

Sarahy also has more than five years of experience in AML compliance working with large banking institutions. She performed AML-KYC and transactional reviews of retail clients, including all Asian Market clients in the division. Her responsibilities also included assisting in the creation of AML policies and procedures and performing Enhanced Due Diligence searches to meet regulatory requirements. She provided AML-KYC training to junior-level teammates and members of the Sales Team. She also served as a Subject Matter Expert in complex situations and provided guidance on how to address them. In addition, she conducted the branch’s operational tasks and worked closely with the BSA/AML department to monitor and address high-risk transactional activity and mitigate potential red flags.