Lynne Johnston, a Senior Director with Treliant, is an experienced executive leading U.S. and non-U.S. bank and broker-dealer regulatory and compliance programs. Her areas of focus have included financial crimes, compliance risk management and risk reporting, third-party and vendor risk management, compliance testing and controls, compliance policies and training, regulatory relations and examination management, remediation projects.
Lynne has over 30 years of professional experience, primarily in legal and compliance roles for banks and broker-dealers. She has served as Deputy Head of Compliance for Bank of China USA; Regional Head of Compliance for Commerzbank AG; Head of Anti-Money Laundering Compliance for RBC Capital Markets USA; and Global Head of Money Laundering Prevention for Lehman Brothers. Lynne has also worked in consulting roles supporting U.S. and international banks. She once served in the U.S. Securities and Exchange Commission’s Division of Enforcement, including cases generated by examination programs.
Among her accomplishments, Lynne has developed and implemented the following: compliance risk monitoring, testing, and reporting programs; remediation plans mandated by regulatory consent orders to address Bank Secrecy Act/Anti-Money Laundering (BSA/AML) and Office of Foreign Assets Control (OFAC) sanctions deficiencies; third-party/vendor risk assessment and vendor risk management programs; customer due diligence programs; anti-bribery and anti-corruption (including Foreign Corrupt Practices Act and Bank Bribery Act) risk and control assessments and associated enhancement plans; and customized compliance training programs regarding broker-dealer and U.S. bank regulations, Code of Ethics, and new developments such as the National Futures Association Rule 2-9 regarding use of marketing materials by swap dealers.
She has also handled regulatory relations and managed examinations conducted by the Office of the Comptroller of the Currency (OCC), Federal Reserve Board (FED), New York State Department of Financial Services (NYS DFS), Securities and Exchange Commission (SEC), and Financial Industry Regulatory Authority (FINRA). Her broad experience enables her to support requirements across many disciplines and to achieve collaboration across functions and divisions both domestically and globally.
Lynne holds a JD from Vanderbilt University School of Law and a bachelor’s degree from Centre College. She is admitted to practice law in New York and Tennessee.
Areas of Specialization
- Anti-Bribery and Corruption
- Anti-Money Laundering / Bank Secrecy Act
- Compliance Audits
- Compliance Programs
- Corporate Governance
- Corporate Investigations
- Email Review / Surveillance
- Ethics Programs
- FinTech Compliance
- Government Investigations / Whistleblower Response
- Independent Monitorships and Consultancies
- OFAC / Economic Sanctions
- Office of the General Counsel
- Regulatory Exam / Management
- Regulatory Relations
- Remediation Plans / Implementation and Effectiveness Testing
- Risk Assessments
- Securities Compliance / Brokerage
- Third-Party Risk Mitigation