Thomas Kelly Email & Phone Number

Singapore, Sg

Singapore, Sg

• Assist in ensuring that the bank is in compliance with all relevant laws and regulations.• Draft Suspicious Activity Reports (SARs) and completed SAR forms which targeted transactional patterns/events through analysis and investigative techniques.• Review and Filed Currency Transaction Reports (CTR)• Review and suggest compliance policies and procedures are effective and followed• Identified volume and movement of currency or other monetary instruments into or out of the U.S. through VSB databases• Search records to determine if VSB had accounts or transacted with any individual, entity or organization on OFAC watch lists• Draft reports for positive OFAC matches to FinCEN and wrote dispositions for false positives• Identify and report money laundering through use of internal alerts to BSA officer• Assisted with the development of a new employee onboarding and training program for the BSA department• Acted as a “help desk” for queries pertaining to AML/KYC policies, handled subpoenas and protected the Bank from inheriting additional risk.• Provided document request from Law Enforcement agencies and prepared all Internal/External audit/exam requested documents.• Investigated customer account activity and complex fraudulent transactions.• Provided support to the branch and loan department in regard to AML issues and account opening procedures.• Reviewed and analyzed accounts related to Criminal/Grand Jury Subpoena.• Conducted investigations for wire activity, ACH transfers, ATM transactions, high-profile accounts such as: MSBs, ATMs, and others requiring enhanced due diligence. • Monitor and review NOW accounts

Omaha, Ne, Us

Intern - Compliance ・Reviewed the Bank Secrecy Act (BSA) ・Identify volume and movement of currency or other monetary instruments into or out of the U.S. through TD Ameritrade data bases・Search records if TDA has accounts or has transacted with any individual, entity, or organization・Report positive matches to FinCEN・Customer Identification Program・Verify identities and compare with government databases・File Suspicious Activity Reports (SAR)・Enforce economic and trade sanctions against targeted countries, terrorists, etc. with activities related to WOMD・Report all blocks to Office of Foreign Assets Control (OFAC)・Reviewed and reported registered investment advisors (RIA) operating as investment advisors (IA) on the retail platform・Learn how to identify and report Money Laundering・Used systems and databases such as BOS Web, RAO, ISIS, Bridger, FileNET, Workflow

Omaha, Ne, Us

Intern - Corporate Risk ・Investigated accounts by monitoring and assessing the key risks of the company・Reviewed significant policies, procedures and practices employed throughout the company to minimize risk・Convey account policies on excel spreadsheets・Review each account through government systems such as Office of Foreign Asset Control・Report all broker dealers which came up with previous offenses and remove appropriately