Rob Farling, a Client Relationship Executive with Treliant has more than 18 years of experience working with financial institutions on regulatory, risk management, and legal matters, with a focus on BSA/AML, sanctions, and consumer compliance. He has in-depth knowledge in transaction monitoring, investigations, customer on-boarding, transactional and KYC look-backs, risk assessments, and subpoena compliance. He oversaw file reviews for potential fraud for national financial institutions, developed compliance management systems and consumer compliance testing for national and global banks. Rob has led remediation and validation engagements at a number of Top 20 banks that were under enforcement action from federal regulators for numerous BSA/AML violations. He has also been the independent consultant for bank enforcement engagements including remediation projects and pre-paid card program restitution projects.
Prior to joining Treliant, Rob was Principal, National Leader of AML & Regulatory Compliance at RSM US. He has held management positions, including a leadership role in the regulatory compliance practice at a global consulting company. He managed engagements for global banks, large broker dealers, and credit card companies. Rob assisted in overseeing the firm’s largest engagement with over 100 consultants supporting the internal audit AML department of a global bank under an enforcement action. In this role, he worked closely with the bank’s senior management by providing expertise on AML related issues and managed the consultants in various locations around the world.
He has been involved in assessment projects to provide best practices and enhancements for a number of financial institutions. He also conducted a firm-wide review of a financial institution’s sanctions program to assist in consolidating their program within the FIU. He also managed a number of independent AML audits for global and regional banks, broker-dealers, and foreign exchange brokers.
Rob has also held roles as the Vice President of AML and of the Enterprise Risk Management functions for a global private bank. Rob led that bank’s global KYC file remediation project. He had oversight of the client on-boarding/KYC processes, transaction monitoring unit, AML investigations team, and managed relationships and operations with global offices regarding regulatory and compliance issues. Rob has also worked in the General Counsel’s office of a national bank, handling subpoena compliance and legal requests.
Rob has a BA from Catholic University and a JD from New York Law School.