Thomas Biber
Summary
Versatile and detail-oriented finance professional with a proven track record in regulatory compliance and risk management. Extensive experience in conducting comprehensive financial examinations, assessing institutions for compliance with applicable laws and regulations. Adept at analyzing financial data, identifying discrepancies, and recommending effective solutions. Skilled in developing and presenting supervisory recommendations to address complex issues. Proven ability to foster positive relationships within teams and collaborate across departments. Seeking a challenging role as a Financial Examiner to leverage expertise in ensuring financial institutions' adherence to regulatory standards and contributing to the overall stability of the financial sector
Overview
6
6
years of professional experience
1
1
Certification
Work History
Global Financial Crimes & Compliance Investigator - Special Teams Investigations
Bank of America / Merrill Lynch
07.2021 - Current
- Recruited to conduct complex financial investigations on potential money laundering, market manipulation trading, insider trading, low priced securities manipulations, wash trading, and spoofing
- Expertise in dissecting complex transactions, identifying anomalies, and articulating findings in a clear and concise manner.
- Demonstrated ability to communicate with precision to facilitate comprehension by third parties, enabling effective collaboration with regulatory authorities
- Proven track record of producing high-quality SARs that contribute to the detection and prevention of financial crimes.
- Successfully recommended and lead the implementation of software improvements to reduce SAR filing time department wide
- Orchestrated department-wide calls, involving hundreds of investigators, to discuss significant investigations and share best practices with newer team members. Concurrently, played a pivotal role in mentoring and coaching less experienced financial investigators on navigating complex investigations
Financial Solutions Advisor
Bank of America / Merrill Lynch
05.2019 - 07.2021
- Recruited to maximize client satisfaction rate through offering holistic financial advice, fostering positive customer relationships as well as delivering quality solutions to meet investments, savings, and credit needs.
- Proven expertise in providing strategic financial guidance to clients, leveraging in-depth knowledge of investment products and market trends.
- Demonstrated ability to analyze complex financial situations, assess risks, and formulate comprehensive wealth management strategies.
- Aligned the organization for growth through enforcing and ensuring optimal adherence to regulatory, compliance, and regulatory banking policies.
- Built and sustained strong relationships while coaching, mentoring, and supervising multiple teams to identify strategic opportunities for platform enhancement
- Awarded the Valiant Award in 2021, a prestigious recognition in all 19 major national markets, for outstanding performance in revenue-driving metrics and client-centric behaviors.
Financial Advisor
Legence Bank
11.2018 - 04.2019
- Championed the process of handling successful execution and negotiated follow-through of implementation vehicles including insurance, investments, tax planning, debt management, estate planning, and other tasks discussed with clients
- Pioneered the establishment of a thriving Wealth Management Division at a state bank, charged with strategically generating non-interest income
- Tasked with orchestrating impactful presentations to diverse groups, providing expert financial advice and cultivating lasting client relationships
- Successfully positioned the bank as a trusted advisor in wealth management, contributing to enhanced client satisfaction and sustained business expansion
Financial Advisor
Midwestern Securities Trading Company
Peoria, US, IL
02.2018 - 04.2019
- Assigned to provide exceptional support in streamlining both front and back office operations to promote growth of the broker dealer / RIA
- Enhanced quality outcomes through providing appropriate client recommendations for senior financial advisors
- Proactively managed client relationships by addressing inquiries, providing comprehensive market insights, and executing transactions with precision
- Adept at leveraging in-depth product knowledge and compliance expertise to deliver a seamless and client-centric experience, contributing to overall client retention and loyalty
E-Commerce Business Owner
SELF
06.2018 - Current
- Cultivated and nurtured solid relationships and rapport with manufacturers in China in order to develop quality products in alignment with established requirements.
- Revitalized efforts to leverage critical thinking while evaluating industry trends and conducting market analysis.
- Proficient in leveraging data analytics and market insights to drive business growth
- Streamlined decision-making processes by aggregating and transforming large datasets into concise, easily readable formats, facilitating informed strategic decisions based on actionable insights
- Proficient in Microsoft Suites
- Trained and hired virtual assistants to proficiently execute designated tasks, enabling efficient delegation of time-consuming responsibilities and optimizing overall workflow
Education
Bachelor of Science in Finance -
Illinois State University
Skills
- Compliance & Strategic Solutions
- Advanced Analytical Problem Solving
- Risk Management
- Complex Investigations
- Policy Violations
- Complex Investigations
- Fraud Prevention & Detection
- Internal Audit
- Process Improvements
- Project Management
- Staff Training & Development
- Record & Documentation
Certification
FINRA Series 7 and 66 License
Timeline
Global Financial Crimes & Compliance Investigator - Special Teams Investigations
Bank of America / Merrill Lynch
07.2021 - Current
Financial Solutions Advisor
Bank of America / Merrill Lynch
05.2019 - 07.2021
Financial Advisor
Legence Bank
11.2018 - 04.2019
E-Commerce Business Owner
SELF
06.2018 - Current
Financial Advisor
Midwestern Securities Trading Company
02.2018 - 04.2019
Bachelor of Science in Finance -
Illinois State University
FINRA Series 7 and 66 License
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