Thomas Halpin

WORK HISTORY

EDUCATION

SKILLS

ABOUT THOMAS HALPIN

I am a Compliance Leader with almost 20 years of professional experience in regulatory risk management, conflict of interest surveillance, and team management in the leading financial institutions. Recognized for increasing operational integrity and a compliance-oriented culture, I have spearheaded and improved various surveillance programs in areas such as Prime Services Compliance, suitability assessments, and conflicts of interest, with successful records in managing risks and raising compliance benchmarks.In my most recent position as Senior Lead Compliance Officer at Wells Fargo, I was responsible for designing elaborate surveillance programs that would help to detect trading irregularities and market misconduct. To achieve these goals, I implemented and enhanced compliance procedures through the use of innovative tools to monitor trading operations and consistently meet audit standards. Before this, I led a group responsible for conflict-of-interest surveillance at UBS, where I developed controls relating to Financial Advisor behavior, personal investment, and high-leverage transactions. While leading that team, I enhanced regulation adhesion and improved the efficiency of risk evaluation procedures.Having worked in risk assessment, monitoring, and compliance, I am passionate about developing viable corporate strategies. Whether it is leading a team through critical regulatory issues or driving the process to its optimal performance, I strive to help build a strong, compliant, and ethical financial environment.