1. Regulatory Compliance Panel Lukas Babiak, BSA/AML Team Leader Office of the Comptroller of the Currency Thomas Bock, Executive Managing Director Regulatory Compliance, K2 Intelligence Robert J Chersi, Executive Director Center for Global Governance, Reporting & Regulation, Lubin School of Business, Pace University Sean O’Malley, Chief Investigator and Sr. Vice President Enforcement Division, FRBNY

2. Moderator: Thomas Bock
Thomas Bock, an executive managing director and leader of K2 Intelligence’s Regulatory Compliance practice, has more than 20 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.
Prior to joining K2 Intelligence, 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.

3. Panelist: Lukas Babiak
Lukas Babiak is the BSA/AML Lead Examiner for the International Banking Supervision in the Office of the Comptroller of the Currency (OCC). In this position, Mr. Babiak is responsible for oversight and coordination of the Occ’s BSA/AML supervisory activities of the agency’s Federal Branches and Agencies Program – IBS. Prior to this assignment, Mr. Babiak spent four years as a Bank Examiner supervising banks in the OCC’s Mid- size and Community Bank Division in the greater New York Area. Previously, before being hired at the OCC in 2012, Mr. Babiak spent seven years in various BSA/AML related roles in retail and private banks, a global investment bank, and a broker-dealer, all in the New York Metropolitan area. Mr. Babiak is a Certified Anti- Money Laundering Specialist (2006) and graduated from Rutgers University – Newark.

4. Panelist: Robert J. Chersi
Robert J. (Bob) Chersi is the Executive Director of the Pace University Lubin School of Business Center for Global Governance, Reporting & Regulation, and an adjunct professor in the Pace Lubin Department of Finance & Economics Prior to his above roles at Pace, Bob's thirty plus year professional business career included senior corporate executive roles including CFO and Member of the Executive Committee of Fidelity Investments, and Member of the Group Managing Board of UBS AG and CFO of UBS U.S. Wealth Management. Bob also currently serves on the Board of Directors and as Chairman of the Audit Committee of Old Mutual Asset Management (NYSE: OMAM) and the Thrivent Family of Mutual Funds; his prior board mandates have included a FDIC regulated bank, a SEC registrant investing in technology and biotechnology companies, and several civic boards. He has also served as a Panelist for the New York Stock Exchange's Hearing Board, and is a graduate of Pace University.

5. Panelist: Sean O’Malley
Sean M. O’Malley is a Senior Vice President and the Chief Investigator of the Financial Intelligence & Investigations Unit within the Enforcement division at the Federal Reserve Bank of New York. In this capacity, he participates and manages investigations of possible violations of banking and criminal laws and regulations by financial institutions and affiliated parties subject to the jurisdiction of the Federal Reserve. Mr. O’Malley specializes in investigations that relate to Anti Money Laundering/Bank Secrecy Act and OFAC Sanctions violations. Mr. O’Malley also acts as a liaison between the Federal Reserve Bank of New York and law enforcement agencies at both the federal and state level in advanced fee and other types of fraud detection, money laundering and terrorist-financing issues. As part of this responsibility, he has testified as an expert witness at numerous criminal trials and taught training seminars focusing on the banking system to bankers, as well as criminal agents and prosecutors from various federal and local law enforcement agencies. Mr. O’Malley was also a lead investigator on the Independent Inquiry Committee, where he helped trace billions of dollars in corruption linked to the United Nations Oil-for-Food Programme. Prior to his employment at the Federal Reserve Bank of New York, Mr. O’Malley worked at Kroll Associates, a leading international investigation firm headquartered in New York. He served in a variety of positions, lastly as a Managing Director in the Financial Investigation Services Group. In that capacity, Mr. O’Malley led numerous fraud investigations into various industries, which included investigating financial statement fraud, embezzlements, inventory and receivable manipulations, as well as bid rigging and kickback arrangements. He also acted as a monitor for companies and unions in industries plagued by organized crime. Prior to working at Kroll Associates, Mr. O’Malley served as a Senior Investigative Auditor for the N.Y.S. Special Prosecutor for Medicaid Fraud Control. In that position, Mr. O’Malley planned and conducted health care fraud investigations, which led to convictions of individuals and corporations in the health care and construction industries. Mr. O’Malley graduated cum laude with a B.S. Degree in Accounting from Long Island University – Post Campus. Mr. O’Malley is a member of the New York State Society of Certified Public Accountants and the Association of Certified Fraud Examiners. Previously, Mr. O’Malley was the Chairman of the NYSSCPA’s Anti-Money Laundering & Counter Terrorist Financing Committee.