Tzvi K.

About Tzvi K.

Broker/Dealer and Banking Regulatory Compliance – Operations and Audits: Tzvi Klein is a Subject Matter Expert in Broker-Dealer and Banking Compliance guidance and oversight of Regulatory Governance. He has managed all regulatory interaction, exams, inquiries, investgations, testing and audits in regards to Dodd Frank, Know Your Customer (“KYC”), Anti Money Laundering (“AML”), and related issues; He has been responsible for updating and maintaining the following: Written Supervisory Procedures(“WSP”), AML procedures, Identity Theft Prevention Program (“ITPP”) manual, and Privacy Policies. Tzvi was responsible for developing and implementing a broker dealer firm’s AML Program ensuring compliance with all applicable Office of Assets Control (“OFAC”), Financial Crimes Enforcement Network (“FinCEN”), Bank Secrecy Act (“BSA”) and AML regulations. Areas of Expertise: • Broker/Dealer and Banking Industry, Retail and Commercial Clients • Dodd Frank/STRD/Volcker - Compliance and Operations Programs • Client On-Boarding, AML Controls, KYC Procedures, BSA, USA Patriot Act, OFAC, Customer Identification Program (“CIP”) • Foreign Account Tax Compliance Act (\"FATCA\")Programs • Project Management and Functional Business Analysis • Compliance, Financial Crimes, and Investigations • Regulatory and Internal, Testing and Audits • Remediation and Quality Assurance of Reviews and Look backs, Identification and Classification of Ownership, Corporate Structures, and Risk Level of Customer Accounts • Bankers Almanac/Wolfsberg, Lexis Nexis/ World Check Screening and Discounting • McDonald Information Systems • FINCEN Filings, Suspicious Activity Reports (“SARs”) Filing, and Currency Transaction Report (“CTR”) Reviews • Product Suitability Evaluations • Account Transfers • Margin and Option Accounts

Experience

1. Fraud Investigator

   PwC

   Jan 2024 — Present · US

Education

• Beth Hatalmud Rabbinical College

  Bachelor's degree

  1984 — 1989