Thomas Dooley

About Thomas Dooley

Accomplished Executive Director of Corporate Risk with proven track record of enhancing a Financial Institutions internal control environment. Adept at leading high-performing teams while achieving superior levels of employee engagement. Specializes in strategic data mining techniques, significantly improving control environments and expediting reporting processes. Skilled in fostering strong stakeholder relationships and driving team growth including emerging regulatory requirements of FRB, OCC, OFAC, FinCEN and FFIEC.Certified Public Accountant-New York, Certified Internal Auditor,Advanced CAMS Audit, Advanced CAMS Risk Management, Certified Anti-Money Laundering Specialist (CAMS), Certified Global Sanctions Specialist (CGSS),ACAMS Faculty Member (NYC & SG),Certified Fraud Examiner

Experience

1. Executive Director - SVP Corporate Risk Head of Testing & Validation Apac Region

   Wells Fargo

   Jan 2019 — Present

   Oversee development and implementation of risk management frameworks to enhance customer due diligence, periodic testing, and training across APAC. Design and execute evaluations of financial crime program and regulatory compliance strategies, focusing on adequacy and effectiveness of global policies and internal controls. Analyze and interpret current and emerging regulatory requirements, ensuring alignment with FRB, OCC, FFIEC, and global institutions such as MAS, HKMA, JFSA, FSS, and FSC. Direct team in financial crimes assessments, AML, sanctions, and KYC to manage and mitigate risk effectively. Drive innovation in testing and validation techniques, utilizing strategic data mining to identify and address global financial crimes issues.• Increased review scope by over 250%, enhancing control environment and accelerating report completion by 11 months.• Completed 80 testing engagements ahead of schedule, providing senior management with insights on control effectiveness and risk identification.• Enhanced communication with internal audit groups to minimize scope overlap and improve assurance efficiencies.• Implemented testing for financial crimes-related risk assessments, challenging business and support teams on fraud, sanctions, anti-bribery, and corruption.• Achieved highest team member engagement in APAC, as measured by the annual employee survey.• Expanded APAC IT & V team by 20 members in 14 months.• Led SME team to assess AML, Sanctions, Investigations, CDD, EDD, and KYC.• Fostered strong relationships with APAC business heads, compliance, legal, and audit.• Innovated data mining techniques for financial crime population analysis, enhancing issue identification.• Achieved enterprise-wide improvements through high-quality analytical reviews, strengthening the bank\'s control environment.

Education

• Loyola Marymount University

  Master of Business Administration

• University of Southern California

  Master of Business Taxation, Bachelor of Arts Political Science