Thomas McGlyn, JD, CAMS

Experience

• 

  Daylight Forensic & Advisory LLC

  Jul 2007 - May 2010

  Senior Associate

  - Assisted the U.S. branches of a global financial institution with a retrospective review “Lookback” of select bank accounts on behalf of a private bank. The Lookback focused on identifying and reporting suspicious and/or unusual activity. As a team leader/QA, managed a team of analysts responsible for reviewing potentially suspicious transactions including wire activity involving correspondent banking relationships in determining if a SAR should be filed. Assisted the bank with the preparation and filing of SARs.- Assisted in the demonstration of an interim transaction monitoring system designed to identify suspicious and/or unusual activity at a private bank. Show less

• 

  Navigant Consulting

  May 2010 - Jul 2012

  Managing Consultant in Global Investigations & Compliance

  - Assisted multiple large financial institutions by reviewing alerts generated from a transaction monitoring system and determining if a Suspicious Activity Report (SAR) should be filed; was responsible for writing SARs for major financial institutions including narrative and SAR suspect identifying information; provided client feedback about AML processes and areas for improvement.- Assisted with an AML risk assessment for an international financial institution covering multiple business units; performed assessment of inherent risks, controls, and residual risks; verified and documented the evidence of business unit controls.- Managed an independent auditor engagement of a large public school system as appointed by the United States District Court, Southern District of New York; was responsible for the review of injunctive claims at the quality assurance (QA) level related to special education impartial hearing orders; drafted and reviewed quarterly reports assessing the compliance of the school system. Show less

• 

  PwC

  Jul 2012 - Apr 2014

  Manager, Financial Services Regulatory Compliance

  - Conducted a compliance and risk management function review of U.S. based entities of a large international financial institution. Reviewed each entity's BSA/AML risk management programs, including applicable policies and procedures, for governance, risk assessment, monitoring and testing, reporting and escalation, data management, and people management for the following areas: KYC, SAR reporting, OFAC review, and transaction monitoring. Mapped regulatory requirements with key elements of the entity's compliance program and inventoried gap analysis against regulatory requirements. Led interviews with key bank personnel to understand current governance structures, as well as roles and responsibilities within each entity and business unit regarding SAR and CTR filing, transaction monitoring, KYC, OFAC, quality assurance, and systems support. Assisted in developing a final deliverable to the client highlighting key findings (identified regulatory gaps), associated risks, and recommended courses of action. - Performed an independent verification of actions taken by a large international bank related to a consent order issued by a regulatory agency; reviewed policies and procedures of targeted monitoring processes as well as relevant committee meeting minutes, conducted walkthroughs and sample testing of manual and automated alerts (including both SARs and non-SARs), and interviewed key stakeholders; compiled workbooks with the results of the testing and assisted in the documentation and presentation of findings to the client. - Remediated client Know Your Customer (KYC) files at a large international bank by conducting due diligence including determining and identifying the account holder and the beneficial owner(s), source of funds, nature of the business, and the purpose of the account. Show less

• 

  JPMorgan Chase & Co.

  Apr 2014 - Oct 2022

  - Audit Manager in JP Morgan’s Internal Audit Department covering the Corporate Sector for Asset Management, specifically AML and Global Compliance-related audits.- As Auditor-In-Charge, handled planning, execution, and reporting of regulatory-expected audits.- As lead auditor, validated business milestones related to a regulatory consent order around updating and improving KYC/CDD processes.- Partnered with business management and compliance to effectively and efficiently address and remediate audit findings.- Assisted with developing recommendations to strengthen internal controls and improve operational efficiency.- Provided feedback and advice to business inquiries regarding BSA/AML concerns.- Participated in weekly AML working groups to discuss audit and milestone status, emerging and potential risks, and action items to address any issues.- Participated in professional conferences and other mediums to stay updated on evolving regulatory changes and market events impacting the business. Show less

  • Executive Director - AML Compliance Director

    Feb 2022 - Oct 2022

  • VP, AML Compliance Manager for Consumer & Community Banking

    Apr 2015 - Feb 2022

  • VP, AML Audit Manager (Asset Management)

    Apr 2014 - Apr 2015
• 

  Morgan Stanley

  Oct 2022 - now

  Executive Director