Thomas Ewers Email & Phone Number

Richmond, Virginia, United States

• AML Compliance Officer (AMLO) • Manage the AML lifecycle of engagements from onboarding (CIP/KYC) to ongoing monitoring through closing (international and US engagements)• Screen & vet third parties for Harris Williams’ third party risk program• One of the main stakeholders in procuring and implementing a new third party risk and collections tool• Produce monthly AML Key Risk Indicator reports• Research and implement new AML rules and regulations• Update and maintain the firms BSA/AML policies and procedures• Supervise the firms Personal Trading program which includes dispositioning violations.• Oversee the firms insider trading risk and private security investments• Assist with updating and maintaining the firm's compliance in international compliance and privacy

Richmond, Virginia, United States

• AML Compliance Officer (AMLO) • Manage the AML lifecycle of engagements from onboarding (CIP/KYC) to ongoing monitoring through closing (international and US engagements)• Screen & vet third parties for Harris Williams’ third party risk program• One of the main stakeholders in procuring and implementing a new third party risk and collections tool• Produce monthly AML Key Risk Indicator reports• Research and implement new AML rules and regulations• Update and maintain the firms BSA/AML policies and procedures• Supervise the firms Personal Trading program which includes dispositioning violations.• Oversee the firms insider trading risk and private security investments• Assist with updating and maintaining the firm's compliance in international compliance and privacy

Richmond, Virginia Area

• Manage the AML lifecycle of HW engagements from onboarding to ongoing monitoring through closing• Screen & vet third parties for Harris Williams’ vendor risk program • Produce monthly AML Key Risk Indicator reports • Research and implement new AML rules and regulations • Create and deliver various AML-related trainings throughout the year • Update and maintain the firms BSA/AML policies and procedures• Assist with any AML-related regulatory filings, such as FBAR

Glen Allen, Va

• Mitigated potential risk to protect the bank from fines, litigation and reputational risk.• Reviewed high risk client relationships to determine retention or termination of the account.• Reviewed and investigated prospective and current clients from referrals for AML and other risk issues. • Collaborated with Financial Crime Investigators and Financial Advisors to examine and determine reasons for AML issues and questions.• Experience with 314a, SARs, UARs, Negative News, MSBs, Marijuana Related Businesses and Penny Stocks.• Worked with management to review policy and procedures to comply with regulations and guidelines.

Petersburg, Va

• Investigated complaints, allegations and criminal acts of bureau employees.• Ensured that the bureau complied with policies, procedures and applicable state and federal laws.• Oversaw the bureau’s risk and effectively reduced liability and risk throughout all divisions.• Managed the accreditation and policy team which updated and added new policies to the bureau’s General Orders. • Oversaw the accreditation and policy team to ensure the bureau complied with and meet accreditation standards.• Interviewed and conducted background investigations on applicants for sworn and nonsworn positions.• Created and implemented the fiscal year budget for the Bureau, Communications and Animal Control.

Petersburg, Va

• Investigated and managed homicide, aggravated assault, robbery, sexual assault, and death cases from inception to conclusion. This includes interviewing victims and witnesses, interrogating suspects and building case files for trial.• Specialized in homicide, fraud, embezzlement and internet crimes (fraud and child sex cases) during this time.• Collaborated with Commonwealth Attorney’s Office and other city officials on case preparation, execution and strategy.• Achieved the rank of Detective Corporal in 2016 and assisted the Detective Sergeant with managing the Investigation Unit.• Provided security for events and court cases in the city, executive protection detail, trained in the execution of low and high-risk search warrants, and completed several high-risk extraditions of prisoners.• Wrote and obtained over 100 search warrants (banking, communications, residences, businesses, etc.).• Worked with State and Federal Agencies on various cases, some of which received Federal and State intervention.• Prepared and provided criminal analysis presentations, and presented the city’s entire monthly case load to the Grand Jury.• Worked with local media outlets on press releases and performed on-camera interviews.

Petersburg, Va

• Assigned to the most violent beat of the City to patrol and investigate crimes.• Initiated various street level investigations which included drugs, weapon violations, eluding, burglary and stolen vehicles.• Began preliminary investigations for robberies, sex offenses, assaults, homicides and burglaries. • Trained five recruit officers as a field training officer which included on-the-job training for ten-week rotations per officer.

Sewanee, Tn

• Supervised the Assistant Proctor Program and assisted with overseeing the Proctor Program for the 2007-2008 school year.• Created and implemented introductory week-long training and monthly trainings for the proctors and assistant proctors.• Responsible for interviewing and hiring all proctors and assistant proctors who supervised the dorms.

Bachelor Of Arts (B.A.), U.S. History

High School Diploma