THOMAS E NOLLNER
Thomas E Nollner has more than 38 years of experience in financial institution supervision and consulting. Mr. Nollner spent 30 years as a National Bank Examiner (NBE) for the Comptroller of the Currency where he was a safety and soundness examiner and a compliance examiner. The last 15 years as an NBE and for the past 8 years as a consultant, Mr. Nollner has specialized as an AML/CFT examiner/consultant. In these roles he has analyzed financial institutions’ AML/CFT programs to ensure that they complied with applicable AML/CFT laws, rules, and regulations; he reviewed the suspicious transactions identification, monitoring, and reporting processes; he traced proceeds and transactions through several layers of activity; and he provided AML/CFT training for many different financial institutions. Mr. Nollner currently works as a consultant for the Office of Technical Assistance (OTA), a branch of the US Treasury that assists developing countries with banking issues. Mr. Nollner is assigned to the Economic Crimes Team that focused on training, assisting, and mentoring the staffs of the financial regulatory departments and financial intelligence units of various countries regarding AML/CFT compliance. In this capacity, he worked in countries such as Afghanistan, Iraq, Turkmenistan, Viet Nam, Honduras, Guatemala, Guyana, Suriname, and Argentina developing AML/CFT examination procedures, providing AML/CFT training and mentoring, and updating local AML/CFT laws and regulations.
In recent years the increased use of electronic means to obtain customer signatures, to conduct verifications of customer information, and to conduct overall customer due diligence has posed problems for financial institutions to fully comply with KYC, CDD/EDD requirements. This webinar will discuss methods of using electronic means for these activities and will discuss up-to-date guidance provided by FinCE..
The BSA examination process is intended to assess the effectiveness of a financial institution’s BSA compliance program and the institution’s compliance with the regulatory requirements related to the BSA. A regulatory examination should cover a review of the risk management process, an analysis of the institution’s independent testing system, a detailed and thorough of the BSA compliance program, transacti..
This Bank Secrecy Act (BSA) training program will explain how to train your frontline staff to ask BSA questions. It will cover Currency Transaction Reports (CTR), Monetary Instrument Log, and Suspicious Activity Reports (SAR) scenarios and questions, and much more.A financial institution’s front-line staff is the staff who usually has the most contact with customers and as such this staff has the opportuni..
This webinar will discuss the background and purpose of the proposed Secure and Fair Enforcement (SAFE) Act of 2019. You will learn how a depository institution will be provided with a safe harbor when dealing with a cannabis-related legitimate business or service provider, the protections in place for ancillary businesses, the protections under federal law, the requirements of filing a suspicious activity ..
The Suspicious Activity Process: How to Identify, Monitor, and Report Suspicious Activity, to include How to Write a Good Suspicious Activity Report
Every day in your branch situations occur which are considered "suspicious" and may even put your employees and customers into what we will call a "felony moment." If your customer asks "Should I deposit this money?" The answer your officer gives may encourage the customer to structure, and that is a problem for both the customer and the employee. This program will answer commonly asked frontline questions ..