Jack Thomas Email & Phone Number

Pittsburgh, Pa, Us

Pittsburgh, Pennsylvania, United States

Serves investment managers and financial services companies to challenge, enhance, and develop their regulatory compliance, fiduciary risk management, governance, and internal controls programs.

Pittsburgh, Pennsylvania, United States

Developed non-US client model for Institutional Asset Management business, including onboarding procedures in accordance with regulatory requirements and key stakeholder reviews such as Anti-Money Laundering (AML), Legal, and Privacy. Supported business development model for public funds clients within new markets, including dimensioning vendor compliance rules, state laws, and regulatory requirements specific to product and service offerings. Coordinated with Request-for-Proposal (RFP) teams to leverage existing procedures and historical RFP responses to address new market requirements. • Onboarded first successful non-US business relationship utilizing new client model. • Established initial approach to capture state-level public funds contracting requirements.

Pittsburgh, Pennsylvania, United States

Delivered audit services for Asset Management Group to provide value-added observations and recommendations. Developed effective working relationships with business line executives. Served as member of primary governing oversight committees and working groups. Coordinated subject matter expert coverage across audit plan. Managed training, learning, and development for audit staff of 14. Supported recruiting and interviewing of development staff. • Provided proactive support to executive team and working groups integrating BBVA USA acquisition. • Received high scores and positive comments consistently in post-audit surveys from business line executives.• Utilized technology to remain connected across audit team during pandemic alternative work arrangements and consistently received outstanding ratings in employee satisfaction survey results.

Pittsburgh, Pennsylvania, United States

Served as Chief Compliance Officer for BNY Mellon Collective Investment Funds. Supported management and administration of Investment Management Group compliance program. Integrated new regulatory requirements into business practices. Managed Anti-Money Laundering (AML) program. Developed initial compliance oversight program for Global Holdings Reporting Group tasked with submitting regular securities holdings reporting through regulatory filings to international exchanges, regulators, and security issuers, including the US Securities and Exchange Commission. • Recommended enhanced governance and oversight framework for bank collective investment fund family; implementation aligned internal control environment with industry best practices. • Implemented initial Investment Management Group program to review non-US investment securities for global regulatory restrictions and economic sanctions programs, including US Office of Foreign Assets Control (OFAC) requirements.

Pittsburgh, Pennsylvania, United States

Coordinated overall risk and compliance program for Mellon Institutional Asset Management with multiple registered investment adviser subsidiaries reporting to the Chief Risk Officer and Business Line Chief Operating Officer. Managed external audit relationship for family of bank collective investment funds, coordinated business recovery program, and developed initial key risk indicator model for the business.