Preston Thomas Email & Phone Number

United Kingdom

London, England, United Kingdom

• Provide operational risk compliance support to Global Transaction Services and Global Wholesale Banking Operations organizations in EMEA. Key responsibilities include:
• Responsible for the effective execution of Compliance & Operational Risk Program requirements associated with all products managed by the business teams.
• Area of coverage includes end-to-end oversight of product management, where there is a regulatory nexus for the coverage business activity.
• Serve as key contact for assigned area of coverage to provide subject matter expertise, and coordinate support across multiple compliance resources, including regional branch presence countries.
• Support the assessment and implementation of regulatory change, training and policies, adequate compliance monitoring and testing, and support the timely identification and remediation of compliance risk issues as.
• Support activities with appropriate reporting and communication to key stakeholders, including regulatory agencies as appropriate.

London, England, United Kingdom

• Provide risk & control support to the Credit Fulfilment, Servicing, & Trade Operations organization in EMEA. Key responsibilities include:
• Provide analytical support in executing internal control discipline and operational excellence with Line of Business and Enterprise Control Function covering Trade Finance, Market Loan Operations and Banking Loan.
• Gather and organize data in order to track, report, and monitor effectiveness of key controls and status of mitigation and action plans.
• Prepare documentation for the tracking, monitoring, and escalation of risk related issues to management.
• For Trade Operations specifically, decision items escalated for compliance, OFAC, and anti-boycott reasons.
• Provide unbiased advice to operations teams and support to the regional lead in Business Support Manager activities

Charlotte, North Carolina, United States

• Ensure compliance with government sanctions and bank anti-money laundering polices. Key responsibilities include:
• Develop and perform quality assurance checks to ensure decisioning accuracy and data quality prior to submission to the Treasury Department.
• Draft reject and block reports for transactions that violate sanctions set forth by the Office of Foreign Assets Control.
• Ensure all regulatory reporting requirements are met in a timely and accurate manner.
• Communicate with global compliance analysts to investigate details of various transactions.
• Perform OFAC licensed releases of blocked funds.

Charlotte, North Carolina Area

• “Go-to attorney” to oversee teams of reviewers, execute quality control, and provide comprehensive understanding of bank compliance. Key responsibilities included:
• Gathered and analyzed complex information to formulate objective conclusions and make recommendations for appropriate courses of action and determinations of fraud.
• Presented feedback to review team ensuring a quick, focused, and high-quality project.
• Evaluated bank AML procedures and policies for quality and functionality, and ensured compliance under the Bank Security Act and the Patriot Act.
• Examined quality of AML risk assessments, reviewed internal and external audit reports, and scrutinized efficacy of SARs.
• Quality assurance of global counterterrorism finance compliance strategy in high risk jurisdictions to safeguard that systems implemented adequate protections in light of growing use of technology amongst terrorists.

Charlotte, North Carolina Area

• Reviewed documents and performed quality control on large-scale issues involving civil ligation, government investigations, and bank compliance issues for Fortune 100 companies. Key responsibilities included:
• Single-handedly conducted projects as well as led teams of reviewers, providing highly regarded work to counsel.
• Performed quality control and provided detailed feedback to teams of reviewers.
• Created searches using eDiscovery software based on terms agreed upon with counsel to generate most relative documents.
• Generated and analyzed reports for calls with outside counsel to discuss goals of review and overall case strategy.
• Diverse portfolio of cases with subject matter involving wills and trusts, mergers, mortgage fraud, compliance, due diligence, deal structuring, mortgage origination, servicing, and underwriting, and intellectual.

Charlotte, North Carolina Area

• Specialized in electronic discovery in the litigation management division. Responsible for both document review and quality control of far-reaching discovery issues involving mass civil litigation, SEC inquiries, bank.
• Provided timely feedback to reviewers to correct mistakes and ensure an accurate and well-focused project.
• Primarily focused on mortgage fraud, foreclosure settlements, deal structuring, and bank due-diligence.
• Served as a team leader, both reviewing documents and providing feedback to other reviewers.
• Produced daily, executive reports to upper management summarizing case findings.

Charleston, South Carolina Area

• Assisted in research activities, including non-jury matters.
• Handled case law with clerks.
• Observed court proceedings and chamber conferences.
• Participated in judicial proceedings and attended trials.

Charleston, South Carolina Area

Conducted historical tours for large groups, which included providing narrative details and information on various historical aspects of Charleston.

Charleston, South Carolina Area

• Performed general courier duties and assisted attorneys in researching court cases relative to medical malpractice,health law, and construction law at this well-respected civil defense firm.
• Received positive performance reviews from colleagues and superiors; was often called a “hard worker.”

Doctor Of Law (J.D.), Law

Bachelor Of Arts (B.A.), History

Activities and Societies: Pi Kappa Phi, PUSH America Philanthropy