Sean Mullaley is a director in K2 Integrity’s Financial Crimes Compliance practice. With more than 10 years of experience in the financial services industry, Sean helps financial institution clients comply with USA PATRIOT Act, Bank Secrecy Act (BSA), and Foreign Corrupt Practices Act (FCPA) regulations. He specializes in anti-money laundering (AML) compliance, suspicious activity reporting (SAR), transaction monitoring and lookback reviews, enhanced due diligence (EDD), Office of Foreign Assets Control (OFAC) sanctions compliance, and anti-corruption compliance.
At K2 Integrity, Sean investigates transactional activity involving high-risk industries and geographies, and/or politically exposed persons (PEPs) in order to identify patterns of potentially suspicious activity. He also performs quality assurance (QA) reviews of transaction monitoring cases as well as SARs prior to submission to the Financial Crimes Enforcement Network (FinCEN).
Prior to joining K2 Integrity, Sean was the team lead for SAR coordination at Habib Bank Limited, where he was responsible for implementing and overseeing four- and six-eye reviews of all SARs prior to filing with FinCEN. He also performed quality assurance of sample closed lookback cases, assuring appropriate rationale was evident to support a no-SAR disposition.
Before joining Habib Bank, Sean was a financial crime compliance officer at UBS, where he was responsible for ensuring compliance with AML, OFAC, and anti-corruption policies and procedures across the investment bank, wealth management, and asset management divisions.
Sean earned a B.B.A. in finance from Pace University and an advanced certificate in financial analysis from New York University. He is a Certified Anti-Money Laundering Specialist (CAMS).
