Kent Han

Experience

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  Kings County Housing Court

  Jan 2008 - Jan 2008

  Judicial Intern

  Conferenced with litigants to ensure they understood and agreed to all terms of their stipulations and to prepare the judge for each case. Created the court’s first guide for evicted tenants, explaining how to apply to available low-income housing. Examined warrants to determine validity of service and military affidavits.

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  St. John's University School of Law Elder Law Clinic

  Sept 2008 - Dec 2008

  Legal Intern

  Responsible for all aspects of two clients’ cases including a complex deed theft and a possible FDCPA lawsuit. Made motion to consolidate two actions in deed theft case in front of judge. Replied to opposition papers. Participated in preliminary conference under supervision. Drafted interrogatories and requested written discovery.

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  Duane Reade

  Feb 2009 - May 2009

  Legal Intern

  Researched Federal Occupational Safety and Health Administration standards (e.g. “Right to Know” and “First Aid”) and how to comply with them. Ran integrity checks on trademarks. Drafted memoranda abridging administrative law for Chief Compliance Officer. Audited several stores in and around the city to determine compliance with federal regulations.

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  Legal Aid Society of Hawaii

  Jun 2009 - Aug 2009

  Law Clerk

  Successfully defended client against her landlord’s attempts to overcharge rent and evict her. Advised client who then successfully litigated a security deposit claim and counter-claim. Prepared arguments for client’s eviction board hearing. Drafted and filed motions for stay pending appeal, to shorten time, and for appeal.

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  NYS Grievance Committee

  Jan 2011 - Dec 2012

  Volunteer Law Clerk to Hon. Doris Ling-Cohan

  Drafted trial, summary judgment, and parts of dismissal decisions, as well as memos. for a fraud case where plaintiff also sought to pierce the corporate veil. Cases included a fraud case concerning piercing the corporate veil, a negligence claim with no direct NY precedent, a commercial real estate dispute, and a labor law injury claim.Refereed preliminary and compliance conferences. Reviewed, edited, fact- and cite-checked decisions.

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  The Children's Law Center

  Jan 2011 - Apr 2011

  Post-Graduate Fellow

  Drafted parts of two written summations. Drafted affidavit in support of motion to permit testimony. Researched several family law issues. Digested testimony for trial preparation. Reviewed, fact- and cite-checked 3-4 briefs and motions.

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  Mintz & Fraade, P.C.

  Sept 2011 - Nov 2011

  Associate

  Drafted SEC Form 10-K; drafting shareholder's agreement; drafting will and ancillary documents; drafting motion papers in professional malpractice litigation for client; assisted in removal of restrictive legend from stock certificates; assisting in reinstatement of client to state bar; assisting clients on various insurance and pension issues; researched issues concerning SEC filing requirements and professional responsibility.

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  Law Office of Kent Han

  Jan 2012 - Nov 2019

  Attorney

  Represented and counseled clients in a variety of matters, including: o state and federal trademark searches and registration; trade secret protection, e.g., NDA’s; o small business incorporation and administration; o co-op purchases, from contract to closing; o divorce; o US immigration petitions; o DACA applications; o evictions; o misdemeanors and violations, e.g., petty theft, traffic violation, DEP violations; ando money judgment collection. Appeared for various court appearances, including ECB/DEP/DEC, Building Department violations, traffic, and others. Show less

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  American Express - Financial Intelligence Unit

  May 2015 - Oct 2015

  AML Compliance Analyst

  Conducted detailed investigations of financial transactions to evaluate AML, BSA, USA PATRIOT, and OFAC risks.Performed further reviews using client records gathered from internal case management systems and external research, e.g., the Internet, LexisNexis, and World-Check, for both initial alerts and escalated cases. Drafted SARs.Drafted memoranda for non-suspicious activity documentation.Discovered an illicit business that American Express was inadvertently doing business with leading to off-boarding customer.Experienced in investigating cash, money order, traveler’s check, gift card, and prepaid debit card transactions. Show less

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  Epiq Global

  Jan 2016 - Aug 2017

  Contract Attorney

  Performed first and second level reviews, including QC review, privilege logs, and redactions, for a case involving a Second Request in a major corporate merger.

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  Special Counsel

  Aug 2017 - Feb 2019

  Contract Attorney

  Performed first and second level review, including QC, privilege checks, privilege logs, redactions logs, and thread checking (a process requiring communication, keeping track of a constantly-updated workflow, and decision-making concerning relevance and reliability).Investigated and reported on OFAC sanction alerts.

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  Mega ICBC

  Nov 2019 - Oct 2021

  Reviewed and provided QA for Investigators.Provided guidance and supervision for a team of three investigators.Investigated increasingly complex cases, e.g., determining whether to off-board a government-entityaccount due to sanction ties.Coordinated with Team Leads, Inter- and Intra-Departmental Committees, and Managers to determine whether to escalate cases, file SARs, add entities to the Bank’s Internal Watch List, and off-board customers.Filed Suspicious Activity Reports.Provided training and subject matter expertise to investigators on MT202 Bank-to-Bank transactioninvestigations. Show less Investigated potentially suspicious transactions, as well as related entities and individuals, identified through automated alert generation, negative news results, continuing suspicious activity, regulatory requirements, and other methods followed by the Bank.Investigated increasingly complex cases, e.g., requiring lookbacks, MT202 Bank-to-Bank activity,and pouch activity reviews.Filed Suspicious Activity Reports.Assisted Team Leads with reviewing and providing QA for Investigators.Drafted training manual for new Level 1 Investigators.Provided assistance with ad hoc projects as required by other teams, including Wire Monitoring, SAMLOC review, and Remediation. Show less

  • BSA/AML Team Lead

    Jul 2021 - Oct 2021

  • BSA/AML Investigator

    Nov 2019 - Jul 2021
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  CTBC Bank, New York Branch

  Oct 2021 - now

  Compliance Officer

  Led team of 8 Transaction Monitoring (TM) Analysts, including supervision, QA, and training.Headed project to implement and conduct the Branch’s first in-house TM Rule Tuning using PwC’s Model Edge and Insights Platform.Headed project to identify any possible nexus within our Branch’s customers and their transaction counterparties to sanctioned Russian individuals or entities in response to increased regulatory scrutiny during the Russian invasion of Ukraine.Assisted with annual FRBNY and NYDFS regulatory examinations, Part 504 Model Validation, Risk Assessment, and TM Rule Tuning. E.g., provided requested data and documentation, conducted research and drafted memos for CCO to respond to regulators, and provided responses and explanations to outside consultant inquiries.Conducted legal and regulatory research for CCO and BGM, e.g., Federal Election Campaign Act, Regulation CC, Title 31 of the CFR etc.Reported monthly AML-KYC metrics to Board, and Oversight committee.Provided second-level review for TM alerts, real-time monitoring (e.g., Trade Finance, OFAC screening, watch list filtering) escalations, 314A reviews, and EDD reviews.Created or updated training documents for various complex TM functions, such as updating country risk ratings throughout all branch systems, and conducting EDD reviews.Conducted Enhanced Due Diligence reviews as needed. Show less