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Thomas
thom.macaluso@gmail.com
727-505-6070
Huntersville, NC 28078
Innovative and reliable senior-level compliance and
9 years experience W2
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Summary

Innovative and reliable senior-level compliance and AML Executive offering a solid history of diversified regulatory and industry experience in transaction analysis, department management, and procedural development. Strong organization, project management and effective multi-tasking skills with a demonstrated ability to manage expectations, deliver results, and the necessary drive to enhance organizational reputation through service excellence. BSA/AML/OFAC Expert.

HIGHLIGHTS

  • Detail–oriented individual who exemplifies professionalism, and an ability to manage multiple projects and tasks at any given moment.
  • Proven record of success in compliance administration and effective strategy implementation, while providing highquality guidance to management as well as facilitating efficient and accurate unit operations.
  • Highlighted leadership qualities and the ability to work with and manage people from varying backgrounds, while promoting team values.
  • Driven partner eager for professional growth, increased responsibility, and the opportunity to leverage extensive technical knowledge, process analysis, risk management, and project execution expertise – along with advanced business and professional education – within the performance-based work culture of a growing organization.

COMPETENCIES

  • Fraud Investigation
  • Risk Management
  • AML Prevention Management
  • Operational Risk Assessment
  • Organizational Leadership
  • Recovery Management
  • Policy & Procedure Compliance
  • Process Mapping/Improvement
  • Change Management
  • Regulatory Risk Control
  • Statutory Compliance
  • Financial Crime Prevention

Experience
VP Anti-Financial Crimes ("AFC") Controls Testing Lead - AML
Banking/Financial
Oct 2019 - Oct 2019

Brought onboard to oversee the Jacksonville AFC Controls Testing Team to support the centralized BSA/AML, Bribery & Corruption and Sanctions & Embargoes testing and monitoring function. Responsible for developing, managing, and modifying the bank’s BSA/AML and Sanctions testing and monitoring program. Other contributions:

  • Design a multi-year schedule and continuous process for testing and monitoring activities across the business lines and external third-party relationships.
  • Plan and drive all aspects of the testing and monitoring process, e.g. number of observations/transactions tested using sampling techniques; daily, weekly, monthly, quarterly, and annual testing schedules for types of transactions and activities by line of business and function.
  • Review testing methodologies and risk rating criteria as needed. Maintain testing and monitoring unit procedures.
  • Clearly communicate testing and monitoring findings to stakeholders, including senior leadership (both Line of Business and AFC Management), the BSA Committee, and regulators.
  • Establish workforce management to ensure tests are assigned and completed in a timely manner.
AML BSA
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Quality Assurance Manager
Information Technology
Oct 2016 - Oct 2019
Denver, CO

Responsible for leading the Quality Assurance function on multiple client engagements, continually auditing QA work product and leveraging results to enhance the QA function and assisting with QA reporting to management and stakeholders. Other contributions:

  • Served as AML Subject Matter Expert supporting clients in managing AML compliance programs and requirements.
  • Led client meetings with a focus on quality and overall client relationship management, including serving as the primary point of contact, managing issue escalations to the Vice President of QA as necessary, and ensuring contractual adherence.
  • Contributed to the auditing, assessing and reporting of production quality against the pre-defined Policies and Procedures of client engagements as well as ensuring engagements are compliant with all applicable laws and regulatory guidelines.
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AML Operations Manager
Information Technology
Oct 2016 - Oct 2016
Denver, CO

Hired to oversee a Global Financial Intelligence Unit (FIU) conducting transaction monitoring reviews for a large, multinational investment bank and financial services company, covering the US, APAC, EMEA, and LATAM regions. Other contributions:

  • Standardized and streamlined alert review process across the various regions to increase analyst throughput and training/ramp-up times.
  • Simultaneously managed three separate client engagements encompassing Customer Due Diligence (CDD) periodic reviews, Enhanced Due Diligence (EDD) remediation, and Regulation B fraud reviews.
  • Played a key role in providing program processes and control overviews to federal regulators and auditors. Facilitated the quality and flow of federal exam requests.
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FIU - BSA/AML Investigator
Banking/Financial
Jul 2012 - Jul 2012

Responsible for reviewing and analyzing Foreign Exchange, Global Markets, and Correspondent Banking relationships for those deemed high-risk and high-value clientele, to certify compliance with internal and Federal Government banking regulations. Other contributions:

  • Facilitated training for the new Compliance Officers to ensure adequate reviews and investigations were performed on highrisk accounts, OFAC monitoring alerts, and overall awareness of BSA/AML regulations.
  • Provided trends by attending conferences and training offered through ACAMS and Federal Government Agencies.
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Edit Skills
Non-cloudteam Skill
Education
Bachelor's in Finance
Florida State University 2008
Certifications
Cert i f ied Fraud Ex am iner * Association of Certified Fraud Examiners
Cert i f ied A nt i -M oney Launder ing Spec ia l i s t * Association of Certified Anti-Money Launde
Skills
AML
2019
1
BSA
2019
1
Change Management
0
1
Compliance
2021
1
Financial Crimes
0
1
Microsoft Excel
2021
1
OFAC
2021
1
Project Management
2021
1
Risk Assessment
0
1
Risk Management
0
1