Thomas Bock, the global head of K2 Integrity’s Financial Crimes Risk Management practice, has more than 25 years of global experience assisting clients with complex Anti-Money Laundering (AML), sanctions, regulatory compliance, fraud investigations, and risk management matters. Tom works with clients to evaluate their existing AML procedures, develop new solutions to minimize risk and costs, and implement new programs to ensure regulatory compliance. His areas of expertise include ensuring compliance with the Bank Secrecy Act (BSA), Know Your Customer (KYC) regulations, the Foreign Corrupt Practices Act (FCPA), and Office of Foreign Assets Control (OFAC) sanctions, and transaction monitoring.
Tom has worked as an “independent consultant” for four separate, global financial institutions as part of their settlements of AML and OFAC enforcement actions brought by the Federal Reserve and the New York State Department of Financial Services. He has led teams that conducted reviews of global AML and OFAC policies and procedures and recommended remedial steps.
Prior to joining K2 Integrity, Tom was an independent consultant at CIT Group LLC, where he managed a team that designed and implemented a global transaction monitoring system that risk-ranked customers, screened for sanctions, and monitored transactions in order to identify suspected money laundering and terrorist-financed operations.
Tom also served as executive director at Daylight Forensic & Advisory LLC, where he was a member of the senior leadership team responsible for business development, product development, and client service activities.
Tom spent nine years at KPMG, where he led AML engagements for multinational financial institutions. He also developed and implemented an AML transaction monitoring and case management system to help global financial institutions comply with the BSA’s suspicious activity reporting laws. Tom also served as a financial fraud investigator for Republic National Bank of New York. In this role, he conducted branch investigations, performed due diligence for private banking proposals, and implemented fraud-prevention systems.
Tom is a graduate of Utica College, where he earned an M.S. in economic crime management. He has a B.S. in computer information systems and finance from Manhattan College.
Areas of Expertise
- Anti-Bribery and Corruption (ABC) Investigations and Compliance
- Anti-Money Laundering and Combating the Financing of Terrorism (CFT), Sanctions, and Fraud Compliance Programs
- Enterprise-Wide Financial Crime Risk Assessments
- AML Model Validation, System Tuning, and Testing
- Regulator Mandated Monitorships and Independent Consultancies
- Sanctions Risk Advisory Services
- Transaction Monitoring Advisory Services
Education and Certifications
- Utica College, M.S.
- Manhattan College, B.S.