Christopher Thomas Email & Phone Number

New York, Ny, Us

New York, Ny, Us

•Manage the Customer Due Diligence program for the Helaba NY Branch. Review and approve the opening/changes of customer accounts to ensure that the required documentation and customer risk assessments meet the requirements of the program. •Review and approve potential OFAC hits against new/existing customers as well as SWIFT message traffic.•Perform annual OFAC testing to ensure procedures and processes are being adhered to by all employees with OFAC responsibilities. Ensure that appropriate controls are in place with respect to OFAC SDN filters. •Perform Enhanced Due Diligence on escalated KYC issues and perform non-documentary verification on select customers using Westlaw’s public records research tool.•Perform periodic risk assessment of entire customer base with respect to geographies, products, industries, ultimate beneficial ownership and other critical elements important to the Customer Due Diligence program.•Manage FinCEN 314a information sharing requests program to ensure requests are conducted accurately and expeditiously. •Investigate potential suspicious activity to determine if a SAR is to be filed. •Monitor the daily and periodic transaction activity of customers via automated transaction monitoring tool (GIFTS EDD).•Liaise with IT and third party vendors to address changes, enhancements and upgrades of automated monitoring tools. •Develop jointly with the Head of Compliance New York necessary processes to ensure that Helaba NY maintains a comprehensive and effective system of internal controls that effectively mitigate operational and reputation risk.•Develop and revise jointly with the Head of Compliance annual training material for deployment to branch employees. •Serve as Deputy Liaison Officer with Regulatory and Enforcement Agencies (FRBNY & NYSDFS) during regulatory examinations.

Frankfurt Am Main, Hessen, De

•Conduced suspicious activity investigations within all business lines for Asset Management in accordance with the Bank Secrecy and USA Patriot Acts. •Managed Regulatory List Search Process for all business lines within Asset Management (OFAC, FinCEN 314a, European Union Sanctions, Subpoenas, Department of Commerce Denial Orders).•Performed Enhanced Due Diligence on high-risk KYC issues escalated by new client on-boarding team.•Ensured Quality Assurance reviews of CIP failure escalations within retail mutual fund platform.•Completed monthly KYC/KYI Quality Assurance Reviews for Institutional business lines.•Operated in advisory capacity to New Client Adoption Team, providing guidance with regard to KYC process.•Interfaced with all levels of management, legal, relationship managers, and operations teams to address escalations and/or suspicious activity investigations. •Reviewed escalated Legal Reviews from Transfer Agent to determine if an accommodation can be granted with regard to required documentation to effectuate various transactions. •Reviewed Sub-advisors’ monthly, quarterly and annual compliance reports to ensure compliance with the Investment Company Act of 1940, ERISA restrictions and to demonstrate general oversight of sub-advisors.

Amsterdam, Nl

•Reviewed, assessed and analyzed USD alerts generated by MANTAS surveillance system for domiciled clients and correspondent banking relationships to ensure compliance with the BSA and the USA Patriot Act.•Prepared and electronically filed Suspicious Activity Reports (SARs) within established deadlines with FinCEN.•Performed risk-based, Enhanced Due Diligence on Increased Risk Relationships in accordance with the USA Patriot Act. •Documented all facets of AML investigations within the Case Management System.•Received and assessed negative news media referrals for further investigation.•Performed 90 Day SAR Reviews to determine if additional activity needed to be reported for prior SAR suspects.

•Investigated and responded to Anti-Money Laundering alerts generated for Custody, Brokerage and Managed accounts in accordance with BSA and USA Patriot Act.•Managed, controlled and prioritized various daily client transactions that included cash wires, securities, transfers/gifts, foreign exchange wires, and line of credit drawdowns/paydowns, within established deadlines.•Identified irregular and/or suspicious activity and escalated to the appropriate party in accordance with compliance and risk management controls.•Facilitated timely settlements of trades in custody accounts with third-party investment managers.•Monitored various daily and weekly reports such as, overdrafts, cash balances and corporate actions.•Assisted with Due Diligence Reports for new accounts and ensured necessary documentation was complete.

•Served as first point of customer contact, providing a timely and professional response to their needs.•Entered stock, mutual fund and fixed income orders for customers.•Interfaced with Fixed Income Desk to place and confirm Treasury, Municipal and Commercial Paper orders.•Collected and maintained completed trade blotters from all members of trading desk.•Acted as liaison between customers and other departments to solve various issues.•Responsible for initiating and executing cash and asset transfers.•Researched for information not included on clients account statements.

•Placed and confirmed stock and sophisticated option orders to include Spreads, Straddles and Combinations. Ensured orders were submitted expeditiously and accurately.•Reviewed trades for suitability pursuant to customer profiles. Therefore preserving integrity of account and minimizing financial exposure to both the client and firm.•Acted as a liaison between market makers, specialists and clients for best executions, price disputes and trade adjustments. Resulted in quick resolution of problems, maintaining company relationships and minimizing financial exposure to interested parties.•Provided quotes, account balances, positions, transaction history and execution reports to customers.