• Anti-Money Laundering and Financial Crimes Conference




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    Logan Anderson
    Senior Manager of Investigations

    TD Ameritrade

    LOGAN ANDERSON is the Senior Manager of Investigations where he leads TD Ameritrade’s AML Strategy Group focusing on continuous improvement of risk assessment, enhanced due diligence, policies and procedures, and AML training. Mr. Anderson has been with TD Ameritrade for 12 years, accumulating experience in both introducing and clearing broker processes. Mr. Anderson is an Iowa State University graduate and currently serves on the SIFMA Anti-Money Laundering and Financial Crimes Committee.
    Alma Angotti
    Managing Director

    Navigant Consulting

    ALMA ANGOTTI is a Managing Director in the Global Investigations and Compliance practice at Navigant Consulting. A widely recognized anti-money laundering expert, she has trained and advised the financial services industry as well as other regulators and government officials worldwide on AML and combating the financing of terrorism (CFT) compliance. Alma has an extensive background as an enforcement attorney conducting investigations and litigating a variety of enforcement actions. In private practice she was involved in civil and criminal litigation. With more than 25 years of regulatory practice, Alma has the experience of holding senior enforcement positions at the U.S. Securities and Exchange Commission (SEC), Treasury’s Financial Crimes Enforcement Network (FinCEN) and FINRA (Financial Industry Regulatory Authority). As a regulator, she had responsibility for a wide range of compliance and enforcement issues affecting broker-dealers, issuers, banks, and other financial institutions. Recently, Alma held acting senior AML compliance leadership positions at several major global financial institutions providing day-to-day management of compliance staff and assisting them with implementing enhancements to their compliance programs. Alma has directed a variety of other projects for large financial institutions, including gap analyses, risk assessments, remediation efforts, and transaction reviews. Alma is a frequent speaker and author on AML/CFT and economic sanctions issues.
    Elaine Banar
    Global Sanctions Head

    UBS

    ELAINE BANAR is the Global Sanctions Head at UBS responsible for setting policy and strategy and leading compliance initiatives to identify sanctions risks throughout the firm. Prior to joining UBS, she served as the head of Global Sanctions at American Express Company in a similar capacity. From 1994 through 2007, Ms. Banar served as an assistant U.S. Attorney in the Eastern District of New York in various capacities including as the chief of the Asset Forfeiture Section and the deputy chief of the Narcotics Section where she supervised complex money laundering, narcotics trafficking, and sanctions-related violations and sought the forfeiture of assets. Before becoming an AUSA, Ms. Banar was a federal agent for 11 years with the U.S. Customs Service (now known as DHS) leading investigations involving money laundering, organized crime, weapons trafficking and also worked undercover. Ms. Banar has had several overseas assignments including in 2001, as the legal advisor to the international police force with the UN Mission in Kosovo where she led a team that drafted criminal statutes on organized crime, wire tapping and witness protection. Between 2002 and 2003, Ms. Banar was a member of a U.S. Department of Defense-led team instructing police and prosecutors in the Baltics in countering weapons proliferation using undercover and controlled delivery operations. Ms. Banar has been a co-author on a number of publications, most notably “Combating Serious Crime in Post-Conflict Societies,” (October 2006 - U.S. Institute of Peace). She is a graduate of New York Law School.
    Elizabeth Paige Baumann
    Senior Vice President & Chief Anti-Money Laundering Officer, AML Office

    Fidelity Investments

    ELIZABETH PAIGE BAUMANN has been the Senior Vice President and Chief Anti-Money Laundering Officer at Fidelity Investments since June 1, 2012. Ms. Baumann is also the Anti-Money Laundering (“AML”) Officer for each of the U.S. Fidelity financial institutions and has oversight over the AML programs of Fidelity’s non-U.S. entities. She actively represents Fidelity from an AML perspective in various industry groups, including the Securities Industry and Financial Markets Association (SIFMA) and the Investment Company Institute (ICI). She has been a member of Fidelity's Corporate Compliance Department since September 1999. Her first role was to support National Financial Services LLC's clearing business on a variety of compliance issues. Ms. Baumann has played a key role in the anti-money laundering (AML) programs of all of Fidelity's U.S. financial institutions under the Bank Secrecy Act of 1970, as amended, and related regulations (collectively, the "BSA") , including the Fidelity mutual funds, since April of 2002. Ms. Baumann served as the co-chair of SIFMA's AML and Financial Crimes Committee January 2011 through December 2013. She also represented the ICI on several sub-committees of the Bank Secrecy Act Advisory Group (BSAAG), which consists of representatives from federal regulatory and law enforcement agencies, financial institutions, and trade groups with members subject to the BSA. Prior to Fidelity, Ms. Baumann worked at Charles Schwab in San Francisco for 6 years. She earned her J.D. from the Tulane School of Law and her B.A. from Trinity College in Hartford, Connecticut. Ms. Baumann is a member of both the California and Massachusetts bars.
    Thomas C. Bogle
    Partner

    Dechert LLP

    THOMAS C. BOGLE is a Partner at Dechert LLP. Mr. Bogle advises financial services companies on a wide range of corporate, regulatory, and enforcement matters. His clients include U.S. registered funds and their boards of directors, investment management firms, banks, broker-dealers and insurance companies. Mr. Bogle has particular experience advising registered funds, independent directors and investment advisers on the full range of issues under the federal securities laws, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the provisions of the Dodd-Frank Act applicable to asset managers. Mr. Bogle is actively engaged in the firm’s anti-money laundering and sanctions compliance practice. He regularly counsels U.S. and non-U.S. corporations, financial institutions and financial industry trade associations on matters relating to the Bank Secrecy Act and U.S. economic and trade sanctions administered by OFAC. Mr. Bogle is listed in The Best Lawyers in America for mutual funds law. He serves as a member of the firm’s Washington, DC Pro Bono Committee and as a leader of its Non-Profit and Small Business Pro Bono practice group. Prior to attending law school, Mr. Bogle worked on Capitol Hill and for federal political campaign committees. He received his B.A from the George Washington University and his J.D. from Tulane University Law School.
    Katrina Carroll
    Counsel

    WilmerHale

    KATRINA CARROLL is a Counsel in the Washington office of WilmerHale, focusing on AML, sanctions and other financial crimes issues. She is a member of the Financial Institutions Group and her practice includes regulatory counseling, enforcement, internal investigations and certain transactional matters. Prior to joining the law firm, Katrina worked on these issues for nearly a decade in the federal government. Most recently, she served as assistant director for Strategic Policy in Treasury’s Office of Terrorist Financing and Financial Crimes. In this role, she worked closely with FinCEN, OFAC, DOJ and other government agencies to develop policy responses to illicit finance issues. Katrina also served in Treasury’s Office of the Assistant General Counsel for Enforcement and Intelligence. Before Treasury, Katrina worked in the SEC’s Office of Compliance Inspections and Examinations as senior counsel for anti-money laundering.
    Andrew J. Ceresney
    Director of Enforcement

    U.S. Securities and Exchange Commission

    ANDREW CERESNEY is the Director of Enforcement at the U.S. Securities Exchange and Commission. Prior to joining the SEC, Mr. Ceresney served as a partner in the law firm of Debevoise & Plimpton LLP, where he was co-chair of the White Collar Group and focused on representing entities and individuals in white collar criminal and SEC investigations, complex civil litigation and internal corporate investigations. Prior to joining Debevoise, Mr. Ceresney, 41, served as an Assistant United States Attorney in the United States Attorney's Office for the Southern District of New York, where he was a Deputy Chief Appellate Attorney and a member of the Securities and Commodities Fraud Task Force and the Major Crimes Unit. As a prosecutor, Mr. Ceresney handled numerous white collar criminal investigations, trials and appeals, including matters relating to securities fraud, mail and wire fraud, and money laundering. Mr. Ceresney served as a law clerk to the Honorable Dennis Jacobs, Chief Judge of the U.S. Court of Appeals for the Second Circuit from 1997 to 1998. He served as law clerk to the Honorable Michael Mukasey, formerly Chief Judge of the U.S. District Court for the Southern District of New York, from 1996 to 1997. Mr. Ceresney is a graduate of Columbia College and Yale Law School.
    David A. Chaves
    Securities Program Coordinator

    Federal Bureau of Investigation

    Supervisory Special Agent David A. Chaves is a senior FBI Agent assigned to the New York division. He serves as the securities fraud program manager for the most visible securities cases prosecuted over the last decade. He is widely recognized as the chief strategist in coordinating these complex white collar investigations and for infiltrating corrupt participants in the hedge fund industry through the use of sophisticated techniques, undercover operations, and wire taps. He is a securities fraud subject matter expert and lectures to audiences in both the public and private sector on securities fraud cases including Madoff, Galleon, and Perfect Hedge investigations. Prior to joining the FBI he was a civil litigation attorney in Boston, MA.
    John Chiota
    Director & Head of Anti-Money Laundering, Americas

    The Royal Bank of Scotland

    JOHN CHIOTA is the Head of Financial Crime in the Americas for Corporate and Institutional Banking at the Royal Bank of Scotland. Mr. Chiota joined RBS in June 2014 and is part of the Global Anti-Money Laundering senior management team. Corporate and Institutional Banking includes Fixed Income, Foreign Exchange, Investment Banking, Correspondent Banking and Trade Finance. Prior to joining Royal Bank of Scotland, Mr. Chiota was the former co-head of AML for Morgan Stanley. John joined Morgan Stanley in June 2011 and was specifically responsible for implementing and managing the AML programs for the Institutional Securities Group ("ISG") and the Investment Management Group. The ISG program included the U.S., Mexico, Brazil and Canada, covered Institutional Equity, Prime Brokerage, Clearing, Fixed Income (including commodities and foreign exchange), Fund Services and Investment Banking. In his investment management role, John worked directly with the firm's U.S. registered mutual funds, including the Morgan Stanley proprietary funds (both retail and institutional). John was also responsible for AML issues for various hedge funds and separately managed accounts at Morgan Stanley. Prior to Joining Morgan Stanley, John served as director of AML for Legg Mason Asset Management. During his tenure at Legg Mason, John was responsible for implementing all aspects of the firm's global AML and sanctions programs as well as the anti-corruption program. Prior to joining Legg Mason in 2004, John served as the chief AML officer for TD Waterhouse where he was responsible for the development and implementation of the firm's AML and sanctions programs. John received his Bachelor of Arts degree from Siena College in 1991 and his J.D. from Quinnipiac University School of Law in 1996.
    Brent P. Cohen
    Manager of AML Compliance, Department of Enforcement

    FINRA

    BRENT P. COHEN is a Manager of AML Compliance within FINRA’s Department of Enforcement. His primary responsibilities include assisting with anti-money laundering issues arising in investigations and examinations, as well as advising staff FINRA-wide on issues involving the handling of suspicious activity reports (SARs). Prior to joining FINRA, Mr. Cohen was a vice president in the Anti-Money Laundering-Suspicious Activities Group at Goldman Sachs & Co. In that role, he was responsible for investigating potentially suspicious activity across the firm's various business lines, including private wealth management, prime brokerage and clearing and execution. Brent also previously served as an assistant general counsel in the Money Laundering Prevention Group at UBS Financial Services, Inc., where he investigated possible violations of the Bank Secrecy Act ("BSA") and provided legal advice to business units concerning BSA requirements and the implementation of the firm's policies and procedures. Brent received his B.A. from the State University of New York at Albany, from which he graduated summa cum laude, and his J.D., with honors, from the University Of North Carolina School Of Law.
    Christopher Cuzzucoli
    Chief AML Officer

    LPL Financial

    CHRISTOPHER CUZZUCOLI is the Chief AML Officer at LPL Financial since May 2014, with responsibility for the firm’s AML, Fraud Prevention and Anti-Bribery programs. Prior to joining LPL, Mr. Cuzzucoli was the AML/OFAC officer for Charles Schwab & Co., Inc., and was later appointed to the same position for Charles Schwab Bank and Charles Schwab Global Services, a money service business. He was also responsible for Schwab's Anti-Bribery program. Mr. Cuzzucoli’s career has included positions in the legal, compliance, operational and risk management areas of AML. Mr. Cuzzucoli also served as North American head of AML for Barclays Corporate Bank, and previously served in the same capacity for TD Bank USA/TD Waterhouse and Dresdner Kleinwort Wasserstein/Dresdner Bank. While at Citi, he served in various roles, including global head of AML and global head of Account Intelligence Units for Global Transaction Services, and as AML counsel for Salomon Smith Barney. Mr. Cuzzucoli is a member of the Bar in New York, Colorado and Washington, DC, is a member of the SIFMA Anti-Money Laundering and Financial Crimes Committee.
    Sterling Daines
    Managing Director, Global Compliance Division

    Goldman, Sachs & Co.

    STERLING DAINES is a Managing Director in the Global Compliance Division of Goldman Sachs. He leads the Anti-Money Laundering/Suspicious Activities Group, which is responsible for executing the firm’s anti-money laundering and sanctions programs globally. Prior to joining Goldman, Sterling was a principal in the Forensic and Dispute Services practice at Deloitte Financial Advisory Services LLP, specializing in anti-money laundering compliance and investigations, sanctions issues, fraud investigations, and forensic technology within the financial services industry. He has been a consultant to numerous private and public institutions, including the United States Department of Justice and the Financial Crimes Enforcement Network.
    John Davidson
    Vice President & Global Head of Anti-Money Laundering

    E*Trade Financial

    JOHN DAVIDSON is the Vice President and Global Head of Anti-Money Laundering at E*TRADE Financial. John joined E*TRADE Financial in October 2007 and in August 2008 was named Global Head of Anti-Money Laundering. He has AML compliance responsibility for E*TRADE’s bank and worldwide brokerage operations. Prior to joining E*TRADE, John spent 19 years as an enforcement attorney and BSA/AML Policy specialist at the Office of Thrift Supervision, the Board of Governors of the Federal Reserve and the SEC. As an Enforcement attorney, John assisted financial institution regulators in recovering over $50 million in ill gotten gains from individuals and financial institutions, which had violated federal banking laws, federal securities laws and the Bank Secrecy Act. As a BSA/AML Policy specialist, John represented first the OTS and then the Fed on interagency working groups, which drafted many of the regulations associated with the USA PATRIOT Act. At the SEC, John helped pilot the Enforcement division’s SAR review program. John’s efforts resulted in numerous awards and promotions from financial institution regulators. He also frequently serves as a speaker at industry sponsored AML forums and at FFIEC examiner training schools. John received his B.A. from the George Washington University and his J.D. from the College of William and Mary.
    Elizabeth T. Davy
    Partner

    Sullivan & Cromwell LLP

    ELIZABETH T. DAVY is a member of the Financial Services Group and is particularly active in the areas of banking regulation, supervision and enforcement at Sullivan & Cromwell LLP. She advises clients on numerous bank regulatory and compliance issues, including issues relating to anti-money laundering compliance, including compliance with the USA PATRIOT Act, OFAC sanctions compliance, permissible investments and activities for bank holding companies and trading activities. She has represented banking clients in public and non-public enforcement actions by bank regulatory agencies, FinCEN and OFAC. She also represents clients in investigations involving allegations of money laundering, violations of banking laws and regulations, trading improprieties and Bank Secrecy Act reporting obligations. She was formerly a senior officer of the Federal Reserve Bank of New York’s Legal Department and Bank Supervision Group and was deputy superintendent and counsel of the New York State Banking Department.
    Susan DeSantis
    Managing Director and Chief Compliance Officer

    DTCC

    SUSAN DESANTIS is a Managing Director and Chief Compliance Officer for the Depository Trust and Clearing Corporation (“DTCC”). Susan has been with DTCC for over 19 years working in various functions in technology, strategy and compliance. Susan is the AML Officer for DTCC and has extensive experience in investigations of microcap securities fraud. Susan has a degree in Finance from the University of South Carolina and a Masters of Business Administration from New York University Stern School of Business.
    Marco Egovail
    Head of AML Compliance, Americas

    Credit Suisse Group AG

    MARCO EGOAVIL serves as the Head of AML Compliance for the Americas Region and joined Credit Suisse in September 2011. At Credit Suisse, he leads a team responsible for AML, economic sanctions, anti-fraud, and anti-bribery compliance for the U.S., Latin America, Canada and the Caribbean. Prior to this, Marco served as vice president in the Anti-Money Laundering group at Goldman Sachs in New York and as the Economic Sanctions Officer for UBS Investment Bank. Marco started his career as a Bank Examiner with the Federal Reserve Bank of New York. He holds a B.S. from Georgetown University, an M.B.A. from New York University’s Stern School of Business, and a J.D. from the University of Minnesota Law School.
    John Fahey
    Branch Chief, Division of Trading and Markets, Office of Chief Counsel

    U.S. Securities and Exchange Commission

    JOHN FAHEY is a Branch Chief in the SEC’s Division of Trading and Markets, Office of Chief Counsel. His work focuses primarily on anti-money laundering issues related to broker-dealers. As a member of the Office of Sales Practices, he also works on a range of broker-dealer regulatory issues, including those affecting senior investors and the distribution of insurance security products. He is a graduate of the Georgetown University Law Center, Georgetown University, and Lafayette College.
    James Fiebelkorn
    Vice President, AML & Anti-Fraud Compliance Department

    Ameriprise Financial Services Inc.

    JAMES FIEBELKORN is a Vice President for Ameriprise Financial Services Inc, where he leads the global AML & Anti-Fraud programs. Mr. Fiebelkorn is responsible for managing an enterprise-wide team across Ameriprise’s brokerage, trust, asset management, and insurance businesses. Prior to joining Ameriprise, Mr. Fiebelkorn was a director and the AML Officer for Pershing LLC, a BNY Mellon company. He was responsible for the management of a global AML team, creating policy, enhancing surveillance systems and communicating with regulatory and law enforcement agencies. Prior to joining Pershing, Mr. Fiebelkorn was a vice president for Lehman Brothers in the Financial Crimes Prevention and Intelligence Department where he managed a team of AML analysts that conducted enhanced due diligence on high-risk clients. Mr. Fiebelkorn is a member of the SIFMA Anti-Money Laundering and Financial Crimes Committee. He holds a Master of Science from the University of Michigan and is a graduate of Colby College. He holds Series 7 and Series 24 licenses.s Prevention and Intelligence Department where he managed a team of AML analysts that conducted enhanced due diligence on high-risk clients. Jim is a participant in numerous industry associations and represents Pershing on the SIFMA Anti-Money Laundering and Financial Crimes Committee. Jim holds a Master of Science degree from the University of Michigan and is a graduate of Colby College. He holds Series 7 and 24 licenses.
    Janette Filbert
    Vice President of Corporate Compliance and Anti-Corruption Compliance Officer

    Prudential Financial, Inc.

    JANETTE FILBERT is Vice President of Corporate Compliance and Anti-Corruption Compliance Officer for Prudential Financial, Inc. In this role, Janette is responsible for managing enterprise-wide compliance programs for anti-corruption, personal trading, gift and entertainment, and political law compliance. She is also responsible for regulatory filings for the enterprise. She and her team are responsible for policies, procedures, training, compliance monitoring, forensic testing, communication plans, and a continuous improvement approach that creates solid risk-based programs. Previously, Janette was deputy chief compliance officer for Prudential’s asset management businesses, a diverse business mix with combined assets of nearly $500 billion. Janette has served in a number of capacities throughout Prudential since 1987. Janette received a B.A. from the University of Massachusetts. She serves on the Leadership Committee of the Madison Group and is a member of the National Society of Compliance Professionals.
    David Fischer-Lodike
    Compliance Director, Capital Markets & Operations Compliance

    Edward D. Jones & Co., L.P.

    DAVID FISCHER-LODIKE is the Compliance Director of Capital Markets and Operations Compliance at Edward D. Jones & Co., L.P. in its St. Louis headquarters. David served 24 years with A.G. Edwards, holding the position of senior vice president and Compliance Sales Practices manager, until the firm was acquired by Wachovia Securities in 2007. David continued with Wachovia Securities in the capacity of senior vice president and co-chief compliance officer responsible for the firm's registrations and employee activities departments until December 2008. David has been responsible for the leadership of a variety of compliance duties which include: registrations; pre-hire screening; heightened supervision; outside business activities; outside investment accounts; firm element continuing education; compliance communications and training initiatives; internal discipline; branch inspections; regulatory affairs and examinations; policy and supervisory procedures development; anti-money laundering compliance; risk management; UK compliance monitoring programs; and UK money laundering reporting.
    Steven Gonzalez
    Head of Financial Crime Compliance, Americas

    HSBC Securities (USA) Inc.

    STEVEN GONZALEZ is currently the Americas Regional Head of Financial Crime Compliance for Global Banking & Markets ("GBM") at HSBC. In this role, Steve manages a group of individuals that provide FCC advisory services to the various businesses and products within the GBM business. Steven joined HSBC in 2014. Before joining HSBC, Steve worked at Goldman Sachs from 2007 to 2014 in various roles such as deputy global head of the firm's Compliance Testing Group and the Money Laundering Reporting officer for the firm's asset management and mutual funds businesses. Prior to joining Goldman Sachs, Steve was an enforcement attorney at NYSE Regulation, Inc from 2005-2007 and an anti-money laundering/compliance officer at Bear Stearns from 2002-2005. Steve has a law degree from Benjamin N. Cardozo School of Law and a MBA from Zicklin School of Business.
    Sarah D. Green
    Senior Director, Enforcement Division

    FINRA

    SARAH D. GREEN is a Senior Director in the Enforcement Division at FINRA, specializing in anti-money laundering (AML) and other Bank Secrecy Act issues. She has responsibility for consulting with both examination and enforcement staff on AML and other issues, as well as training staff organization-wide on the handling of suspicious activity reports (SARs). Ms. Green is also responsible for FINRA AML guidance and external training of financial industry professionals domestically and internationally. Previously, she was the Bank Secrecy Act Specialist in the Division of Enforcement’s Office of Market Intelligence (OMI) at the U.S. Securities and Exchange Commission (SEC). In this role, she oversaw the Commission’s review and use of SARs, consulted with Enforcement staff on anti-money laundering and SAR handling issues, and facilitated information sharing between Enforcement and SEC’s Office of Compliance Inspections and Examinations (OCIE). Prior to joining OMI, Ms. Green was a branch chief in OCIE, managing the Commission’s AML examination program for broker-dealers on a day-to-day basis, including developing examination modules, conducting training for SEC and self-regulatory organization (SRO) staff and coordinating with the SROs on all aspects of AML examination and enforcement. Ms. Green represents FINRA on the Bank Secrecy Act Advisory Group, which advises the Financial Crimes Enforcement Network and the Department of Treasury on anti-money laundering issues. She is a frequent speaker on AML, and frequently provides technical assistance to domestic and international audiences. Prior to joining the SEC, Sarah was an associate in the Corporate and Securities practice group at Gardner Carton & Douglas LLP. Sarah received her J.D. from the William and Mary School of Law and her B.A. from Hamilton College.
    Koko Ives
    Manager, BSA/AML Compliance Section, Division of Banking Supervision and Regulation

    Board of Governors of the Federal Reserve System

    KOKO IVES is the Manager of the Bank Secrecy Act / Anti-Money Laundering Section at the Board of Governors of the Federal Reserve System. She works with Reserve Banks and Board staff in overseeing the development of supervisory strategies to address complex BSA/AML issues. She oversees the development of interagency BSA/AML guidance and rulemakings. Ms. Ives participates in interagency and industry groups to develop and communicate BSA/AML policy guidance for financial institutions and represents the Federal Reserve domestically and internationally. Before joining the Board, Ms. Ives served as the deputy assistant director of the Office of Regulatory Policy at the Financial Crimes Enforcement Network (FinCEN) from 2007 - 2012. She oversaw the development, interpretation, and implementation of Bank Secrecy Act regulatory policy. She supervised the development and issuance of proposed and final regulations, industry guidance, responses to requests for administrative rulings, and responses to written inquiries and correspondence. Prior to joining FinCEN, she spent more than 10 years as an attorney focusing on issues related to the banking industry. Ms. Ives is a graduate of Catholic University of America Columbus School of Law and St. John’s College in Annapolis, Maryland.
    Ana P. Kang
    Global Head of AML and Sanctions

    Brown Brothers Harriman & Co.

    ANA P. KANG is the Global Head of AML and Sanctions at Brown Brothers Harriman & Co. ("BBH"). She joined BBH in April 2014. Prior to BBH, Ana was the Americas Head of AML and Sanctions for Markets and International Banking at the Royal Bank of Scotland. Ana also worked at Goldman Sachs & Co., most recently as the AML counsel to the AML team. A former prosecutor at the New York County District Attorney's Office, Ana was also a litigation associate at Schulte, Roth & Zabel, concentrating in the areas of white-collar criminal defense, securities regulatory matters and internal investigations relating to AML, sanctions and FCPA. Ana has a BA degree in Political Science from Middlebury College and a JD from the George Washington University Law School.
    Eric Kringel
    Attorney & Bank Secrecy Act Specialist, Division of Enforcement

    U.S. Securities and Exchange Commission

    ERIC KRINGEL is an Attorney and Bank Secrecy Act Specialist at the U.S. Securities and Exchange Commission Division of Enforcement where he administers the Division’s BSA Review Program, leads the Division’s Rule 17a-8 Working Group, and works with colleagues throughout SEC on a wide range of AML and BSA policy issues. He has worked in Bank Secrecy Act and anti-money laundering enforcement for more than seventeen years. Eric joined SEC from the Treasury Department’s Financial Crimes Enforcement Network (FinCEN) where, over the course of more than seven years, he served as senior advisor in the Analysis and Liaison Division, acting assistant director of the Office of Law Enforcement Support, and as senior policy advisor to three consecutive Directors. Prior to that Eric was an attorney in the Bureau of Alcohol, Tobacco, and Firearms’ Office of Chief Counsel, and a contract attorney in the Department of Justice’s Asset Forfeiture and Money Laundering Section. Eric is a graduate of the University of Nebraska and American University’s Washington College of Law.
    Catherine LaFalce
    Global Head of AML for Markets and Banking

    Citi

    CATHERINE LAFALCE is to Global Head of AML for Markets and Banking for Citigroup’s Markets and Securities Services and Corporate & Investment Banking businesses, where she is responsible for leading the global strategy and coordination of AML standards and practices for these businesses. Prior to re-joining Citi, Cathy was the Global AML Advisory Head for the Barclays Corporate and Investment Bank (CIB), and the CIB Americas Financial Crime Compliance Region Head, responsible for AML Policy and Enhanced Due Diligence globally, and for management of the Barclays CIB financial crime compliance program in the Americas. Prior to Barclays, Cathy held various compliance, audit and risk management roles in her previous 16 years with Citibank’s former Global Transaction Services (GTS) businesses, including as AML Compliance Head for GTS North America. In addition, Cathy was the Sector Compliance Officer for The Bank of New York’s Issuer Services businesses for six years, and a senior auditor for Bankers Trust Company. Cathy started her career as an Associate National Bank Examiner for the Office of the Comptroller of the Currency. She holds a Bachelor of Science in Finance and Economics from Fordham University.
    Cassie Lentchner
    Global Head of Government and Political Activities Compliance

    Morgan Stanley

    CASSIE LENTCHNER works as the Global Head of Government and Political Activities Compliance in the Morgan Stanley Legal and Compliance Department, with responsibility for the firm’s global anti-corruption program and U.S. compliance coverage of political contribution, lobbying, and interactions with government officials. Prior to working at Morgan Stanley, Cassie was in the UBS Investment Bank Legal Department as the head of Political and Governmental Law. Prior to joining UBS, Cassie worked at Perkins Coie LLC in the Political Law Group, worked for the U.S. House of Representatives as the chief counsel to the Teamsters Investigation and the U.S. Senate as senior counsel for an investigation into potential foreign influence into the 1996 US elections. Cassie started her legal career as a litigator at Fried, Frank, Harris Shriver and Jacobson. Cassie is Chair of the SIFMA State and Local Business Relationships Committee. Cassie went to Rutgers School of Law, graduating Order of the Coif. In addition to her position at the firm, Cassie has been active in her community including serving on several Boards of not-for-profit entities including NARAL Pro-Choice America and the NY Women’s Equality Coalition. Cassie also is on the board of and manages a small family foundation that grants scholarships to medical students in under privileged countries.
    Tara Loftus
    Executive Director, Financial Crime Compliance

    UBS AG

    TARA LOFTUS is an Executive Director at UBS and is the Global Head of AML Training, the Americas Head of Anti-Corruption Compliance, and serves on the Global AML Management Committee. In her training role, Ms. Loftus is responsible for creating global minimum standards for all regions and business lines that include the development of financial crime training modules as well as comprehensive training for AML Compliance employees. As the Head of the Anti-Corruption program for the Americas region, she provides advice and guidance to senior management on all matters related to the Foreign Corrupt Practices Act, the UK Bribery Act and other applicable regulations and helps to implement the associated monitoring, controls and testing. The program covers the wealth management, global asset management and investment banking businesses throughout the Americas including Argentina, Brazil, Canada, Mexico, Uruguay and the U.S. Ms. Loftus began her financial services career in 1993 and held various positions in Legal & Compliance at Merrill Lynch and subsequently JP Morgan, prior to joining UBS in early 2000. Ms. Loftus received her B.A. and M.A. from the University at Albany. She is a member of SIFMA’s Anti-Money Laundering and Financial Crimes Committee.
    Jonathan E. Lopez
    Partner, White Collar and Corporate Investigations

    Orrick, Herrington and Sutcliffe LLP

    JONATHAN E. LOPEZ is a Partner in the White Collar and Corporate Investigations group at Orrick, Herrington and Sutcliffe, LLP, based in Washington, D.C. From 2003 until July 2014, Jonathan was a prosecutor with the Department of Justice (DOJ) most recently serving as an inaugural deputy chief of DOJ’s Money Laundering and Bank Integrity Unit within the Asset Forfeiture and Money Laundering Section. The Money Laundering and Bank Integrity Unit is DOJ’s sole unit dedicated to the criminal enforcement of the Bank Secrecy Act. While at DOJ, Jonathan also served as a senior trial attorney in the Criminal Fraud Section, an attorney advisor in the Office of Legislative Affairs, and an assistant United States attorney in Miami, Florida. In these roles, Jonathan led several high profile prosecutions, including successfully taking to trial Enron and FCPA matters as well as overseeing the HSBC and MoneyGram Bank Secrecy Act cases.
    Alexandre Manfull
    Assistant Director for the Sanctions Compliance & Evaluation

    U.S. Department of the Treasury

    ALEXANDRE MANFULL is the Assistant Director for the Sanctions Compliance & Evaluation (SC&E) division of the U.S. Department of the Treasury’s Office of Foreign Assets Control. A former banker, he joined OFAC in 1997 with a background in correspondent banking, and domestic and international operations. He has also worked extensively on cash management, and trust and securities issues. During his tenure at OFAC, Mr. Manfull has participated in investigations into Slobodan Milosevic’s sanctions evasions, worked with the UN High Commission for Bosnia to identify and disrupt the network supporting Radovan Karadzic, a Person Indicted For War Crimes (PIFWC), and, in the wake of 9/11, aided in the coordination of terrorist financing investigations between OFAC and Saudi Arabian law enforcement and banking authorities. In his current role, he manages all aspects of SC&E including: providing guidance on the applicability of OFAC-administered sanctions to financial institutions and the international trade community, engaging in outreach to the domestic and international financial services community, and managing OFAC’s financial sector enforcement process.
    Michael Mulcahy
    Deputy Director of AML

    RBC Capital Markets LLC

    MICHAEL J. MULCAHY is currently the Deputy Director of AML for RBC Capital Markets LLC in New York. He joined RBC in July 2011, focusing on transaction monitoring and investigations, and has experience in risk assessments, policies and procedures and AML training. Prior to joining RBC, Michael was a director of AML at Morgan Stanley & Co. in the Institutional Sales Group with a focus on Canada and Latin America. Prior to his employment at Morgan Stanley & Co., Michael was formerly an assistant vice president at Lehman Brothers Inc., covering both Institutional and Retail AML surveillance. Michael is a graduate of Saint Anselm College with a B.A. in Economics and a minor in Russian Studies. Michael is also a graduate of Fordham University, having completed his MBA in Finance and Management. In addition, Michael holds the Series 7, 63, 24 and 4 licenses.
    Christy Oeth
    Senior Compliance Officer

    KCG Holdings, Inc.

    CHRISTY OETH currently serves as a Senior Compliance Officer at KCG Holdings, Inc. (“KCG”) and reports to KCG’s General Counsel. In her role, Ms. Oeth oversees inquiry and exam management, serves on the Firm’s market structure committee and is the Firm’s AML Compliance Officer. Prior to her current role, she served as the director of Corporate Compliance for Knight Capital Group, Inc. Ms. Oeth actively participates in both SIFMA and FIF committees focused on equity trading and markets, clearing and settlement and regulatory reporting. In 2012, she received the Rising Star Award in the Women of Wall Street Awards sponsored by Trader’s Magazine.
    Lisa Osofsky
    European Regional Chair

    Exiger Limited

    LISA OSOFSKY is European Regional Chair based out of EXIGER’s London office, where she focuses on financial crime and anti-bribery compliance as well as investigative operations. A U.S. lawyer, UK barrister, and the former deputy general counsel of the FBI, Ms. Osofsky brings a distinguished career in both the public and private sector to the EXIGER team. Prior to joining EXIGER, Ms. Osofsky was the regulatory advisor to the corporate investigations division of Control Risks. There, she advised clients on issues ranging from fraud and corruption to pre-investment due diligence and partner vetting. Ms. Osofsky also assisted clients in conducting internal investigations and reporting relevant findings to Boards and regulators. Before Control Risks, she was executive director of the business intelligence group and in-house counsel at Goldman Sachs International, London. There, she advised GSI’s senior management, bankers, and compliance officers on legal matters relating to money laundering, fraud, and regulatory risk. Ms. Osofsky was also a special attorney in the Fraud Section, Criminal Division United States Department of Justice where she was posted to London and stationed at the Serious Fraud Office. While there, she assisted UK prosecutors in cases with a substantial U.S. interest and served as a consultant to UK criminal and regulatory bodies, focusing especially on asset confiscation and financial crime. Ms. Osofsky began her career in Chicago, where she was an assistant U.S. attorney, prosecuting federal crimes ranging from financial and government contract fraud to public corruption and bank robbery. Ms. Osofsky received a Bachelor of Arts degree, Phi Beta Kappa, magna cum laude from Amherst College and holds a Juris Doctor from Harvard Law School. She has been the recipient of the Charles B. Rugg and John Woodruff Simpson Fellowship Awards; she has been recognized by the U.S. Attorney General for her investigative and trial work.
    John Papandrea
    Vice President of U.S. Sanctions and Anti-Corruption Programs

    Fidelity Investments

    JOHN PAPANDREA is Vice President of U.S. Sanctions and Anti-Corruption Programs in the Corporate Compliance group at Fidelity Investments in Boston. In this capacity, he provides guidance to all Fidelity business units on a variety of compliance issues. Prior to joining Fidelity, John was an attorney in private practice at Wiley Rein LLP in Washington, DC. While at Wiley Rein, John counseled clients on compliance with economic sanctions, anti-corruption, and telecommunications issues. John earned his J.D. from the University of Chicago Law School and his B.A. from Yale College.
    Teresa A. Pesce
    Principal, U.S. Forensic Advisory Services



    TERESA A. PESCE is a Principal in KPMG LLP’s US Forensic Advisory Services practice, and leads the firm’s Anti-Money Laundering services group. She is based in New York, and possesses a diversity of skills in forensic and AML-related areas. Before joining KPMG in April 2007, Terry was the executive vice president and head of North American Anti-Money Laundering for HSBC. As the first to hold that position, she was responsible for the building of the AML compliance function for all of HSBC’s North American business lines, which included management and oversight of teams responsible for the creation and maintenance of policies and procedures, testing, training, investigative/financial intelligence programs, transaction monitoring, OFAC/sanctions compliance, and business line AML compliance.
    Brandon Reddington
    Global Sanctions Compliance Officer

    Credit Suisse

    BRANDON REDDINGTON is a Global Sanctions Compliance Officer at Credit Suisse in Washington, D.C. In his role at Credit Suisse, Mr. Reddington is responsible for providing advice and guidance to key stakeholders within the Bank regarding compliance with applicable sanctions laws and regulations, and for developing and maintaining robust internal controls to ensure adherence with a variety of sanctions regimes. Prior to joining Credit Suisse, Mr. Reddington served as Senior Sanctions Advisor (Securities) at the U.S. Treasury Department’s Office of Foreign Assets Control (OFAC), where he worked from 2009-2014. Mr. Reddington holds a B.A. in Political Economy and an M.A. in National Security Studies from Georgetown University.
    Michael Rufino
    Executive Vice President and Head of Member Regulation

    FINRA

    MICHAEL RUFINO is Executive Vice President and Head of FINRA Member Regulation—Sales Practice. In this capacity, he is responsible for overseeing FINRA’s Sales Practices program, which includes the Membership Application Program. Prior to serving in this capacity, Mr. Rufino was the Chief Operating Officer in Member Regulation Sales Practice. Mr. Rufino has been involved in various industry initiatives throughout his career in regulation. Mr. Rufino currently represents FINRA on several industry committees, including the Bank Secrecy Act Advisory Group sub-committees on Securities/Futures and SAR Reporting. He is currently FINRA’s representative on the International Organization of Securities Commissions’ (IOSCO) Committee 3 on Intermediaries. He has also served as a member of the Continuing Education (CE) Council, assisted in the creation of Electronic Communications Guidance to the industry and served as a member of the Social Networking Task Force. In addition, he participated in the Financial Action Task Force’s (FATF) initiative to create guidance on the risk-based approach to the prevention of money laundering and terrorist financing as well as the FATF Typology on the Securities Industry. Mr. Rufino graduated magna cum laude from Iona College with a degree in finance, and received his M.B.A. with honors in management information systems from Iona.
    Daniel Ruzumna
    Partner

    Patterson Belknap Webb & Tyler LLP

    DANIEL RUZUMNA is a Partner at Patterson Belknap Webb & Tyler in New York and leads its White Collar Defense and Investigations Group. Mr. Ruzumna's practice focuses on the areas of white collar criminal defense and related regulatory proceedings, internal investigations, asset forfeiture proceedings, and complex financial litigation. He has represented clients in many recent high-profile criminal and regulatory investigations involving alleged violations of the securities laws, tax laws, and Foreign Corrupt Practices Act. Before joining Patterson Belknap in 2005, Mr. Ruzumna spent six years working at the United States Attorney's Office for the Southern District of New York, where he last served as Acting Chief of the Major Crimes Unit. After graduation from law school, Mr. Ruzumna served as a law clerk to the late Hon. Jay C. Waldman, United States District Court for the Eastern District of Pennsylvania.
    Betty Santangelo

    Schulte Roth & Zabel LLP

    BETTY SANTANGELO has been with Schulte Roth & Zabel for over 17 years specializing in securities/bank enforcement matters and white-collar criminal defense. In addition to advising financial institutions (banks, broker-dealers, mutual funds, investment advisers and FCMs) on AML/OFAC/FCPA corporate compliance issues, she represents those institutions, corporate entities and individuals before the U.S. Attorney’s Offices, state and local prosecutors and regulatory agencies (including the SEC, the bank regulatory agencies, the CFTC, FINRA and SIGTARP) and conducts internal investigations. She has also served as an independent consultant in SEC enforcement matters. Before joining SRZ as a partner, she served as an Assistant U.S. Attorney for the Southern District of New York, focusing on securities and commodities fraud prosecutions, and she was also a First Vice President and Assistant General Counsel for Merrill Lynch, where she oversaw its regulatory litigation group and the implementation of its AML procedures. Nationally recognized for her expertise in corporate compliance issues, she is listed in The Best Lawyers in America, Ethisphere: Attorneys Who Matter, IFLR Guide to the World’s Leading Women in Business Law, International Who’s Who of Business Crime Defence Lawyers and New York Super Lawyers. She has served as the Securities and Futures Industry’s representative on the Bank Secrecy Act Advisory Group of the U.S. Department of the Treasury and as counsel to SIFMA’s AML and Financial Crimes Committee. In 2014, she was honored by SIFMA for her extraordinary contributions to the Committee and recognized for her dedication to improving industry compliance. She is the 1998 recipient of FinCEN’s Director’s Medal of Exceptional Service. That same year, she represented the U.S. securities industry at the Financial Action Task Force (“FATF”) meeting in Brussels, Belgium. In 2002, she represented SIFMA, the Futures Industry Association and the Investment Company Institute at the FATF meeting in Paris. She has also served as Division Director of the ABA Litigation Committee, and as Chair of its Securities Litigation and Broker-Dealer subcommittees. A former adjunct professor at Fordham Law School, where she taught a course on money laundering, she is a much-sought-after speaker on corporate compliance, AML/OFAC/FCPA, white-collar criminal and securities law issues. She addressed “AML Compliance: Hot Topics” at the SIFMA Compliance and Legal Society Annual Seminar and moderated “AML and Beyond: The Intersection of AML, Anti-Corruption and Sanctions” at the SIFMA 14th Annual Anti-Money Laundering and Financial Crimes Conference. She received recognition twice from the Emerald Literati Network for articles she wrote on financial institutions’ anti money laundering obligations. She is also the recipient of a Burton Award, which recognizes exceptional legal writing, for an article she wrote on the FCPA. She is a co-author of “Civil and Criminal Enforcement” for Practising Law Institute’s Insider Trading Law and Compliance Answer Book and contributed a chapter on “Representation Prior to Indictment” in the Law Journal Press’ Defending Federal Criminal Cases: Attacking the Government’s Proof.
    Renata Santos
    Global Head of Financial Crime for Markets and International Banking

    The Royal Bank of Scotland

    RENATA SANTOS is the Global Head of Financial Crime for Markets and International Banking at the Royal Bank of Scotland, which includes AML, Sanctions and Anti-Bribery & Corruption. Ms. Santos joined RBS in May, 2013 and is part of the Global Compliance senior management team. Markets and International Banking covers Institutional Equities, Fixed Income - including Commodities and Foreign Exchange, Investment Banking, Correspondent Banking and Trade Finance. Prior to joining the Royal Bank of Scotland, Ms. Santos was head of Americas for the Securities Division at Morgan Stanley & Co., which included Institutional Equity, Prime Brokerage, Clearing, Fixed Income (including commodities and foreign exchange), Fund Services and Investment Banking. Ms. Santos was global head of EDD/KYC at Goldman Sachs, and responsible for implementing the global enhanced due diligence (EDD) strategies, policies, and processes for all regions and global divisions of Goldman Sachs Group, including Securities, Prime Brokerage, Execution & Clearing, Private Wealth Management and Asset Management. In this role, she advised all business lines on AML and economic sanctions issues and led a team that performed EDD on potentially high-risk relationships and payment reviews for economic sanctions compliance. Additionally, Ms. Santos was responsible for customer identification policies at the firm and the implementation of the appropriate AML training program. Prior to joining Goldman Sachs in 2007, Ms. Santos served as deputy head of AML Compliance for the Americas at UBS Investment Bank in New York. As part of her mandate, Ms. Santos was responsible for AML compliance in Latin America which included Argentina, Brazil, and Mexico, and was an integral member of the AML pre-deal due diligence team for M&A at the bank. Her responsibilities also included reviews of high-risk relationships, and AML policies and procedures. Prior to joining UBS, she held senior AML roles at Citigroup and Bear Stearns, both in New York. Ms. Santos started her career on the business side as a private banking financial advisor and relationship officer. Ms. Santos received her law degree from Pontifical Catholic University of Rio Grande do Sul (Brazil) and completed a specialized program in International Contract Law at the Universita Degli Studi de Milano (Italy). She is admitted to practice law in her native Brazil, holds Series 7 and 63 FINRA registration licenses and speaks four languages (English, Spanish, Italian, and Portuguese). Ms. Santos is a former Co-Chair of SIFMA’s Anti- Money Laundering and Financial Crimes Committee.
    Baha Sarana
    Executive Director & Head, AML

    Morgan Stanley Wealth Management

    BAHA SARANA is an Executive Director and Head of Anti-Money Laundering for Morgan Stanley’s Wealth Management division. In his role, he oversees the development, coordination and implementation of the Wealth Management division’s AML program. Prior to his current role, Baha was the deputy head of AML for Wealth Management, director of Inquiries and Investigations, and team lead for Morgan Stanley’s Global Wealth Management Group’s Core (Retail) and Investment Management Divisions. In addition, Baha has previously served as co-chair of Morgan Stanley’s AML Monitoring Committee. Baha has a B.A. degree in Legal Studies from John Jay College of Criminal Justice in New York and a J.D. from New York Law School.
    Arlene Semaya
    Senior Vice President & Compliance Managing Director

    JPMorgan Chase & Co.

    ARLENE SEMAYA is a Senior Vice President and Compliance Managing Director at JPMorgan Chase & Co. Arlene is responsible for coordinating and monitoring day-to-day compliance of the JPMorgan U.S. Investment Bank’s anti-money laundering program. Arlene is the designated AML Compliance Officer for JPMorgan LLC and JPMorgan Clearing Corp. Prior to joining JPMorgan, Arlene was a senior managing director in the Legal and Compliance Department of Bear, Stearns & Co. Inc. and the director of Anti-Money Laundering Compliance for the Bear, Stearns Companies, Inc as well as its broker dealer, Bear, Stearns & Co. Inc. Arlene was responsible for the implementation and application of the Firm’s AML policies and procedures to counter money laundering and terrorist financing, coordinating the Firm’s AML training, and conducting surveillance, investigations and reporting, as appropriate. Arlene was also responsible for managing the Firm’s OFAC and global sanctions compliance efforts. Arlene represented Bear Stearns on the Bank Secrecy Act Advisory Group. Arlene joined Bear Stearns in 1998 as a managing director and a senior litigator in the Firm’s legal and compliance department where she was responsible for representing the Firm in its most significant litigation, arbitration and regulatory compliance matters involving investment banking, capital markets, public finance, private client services, clearance and back office operations.
    Andrea Sharrin
    Director, Financial Crimes Enforcement Network

    U.S. Department of the Treasury

    ANDREA M. SHARRIN is the Director of the Office of Compliance and Enforcement at the Financial Crimes Enforcement Network (FinCEN), U.S. Department of the Treasury. Director Sharrin has responsibility for FinCEN's Bank Secrecy Act compliance and enforcement program, including developing and implementing the Bureau's related strategies, supervising investigations, enforcement actions and other activities that have industry-wide, national, and international impact, including those related to national security and that are designed to protect the U.S. financial system from terrorist financing, money laundering, and other financial crime. Director Sharrin previously served as Deputy Chief of the Computer Crime and Intellectual Property Section (CCIPS), Criminal Division, Department of Justice, where she was known as an international expert in the criminal enforcement of intellectual property rights.  She supervised 14 prosecutors and had responsibility for the Department's domestic and international intellectual property criminal enforcement program.  Director Sharrin served as an Assistant U.S. Attorney in the District of Columbia where she prosecuted a wide variety of criminal cases involving narcotics, weapons, violent crime and other felony offenses.  She also has significant civil litigation experience.  Director Sharrin was a Director for Civil Litigation in the Recording Industry Association of America, where she supervised intellectual property litigation involving copyright and technology issues for the music industry. She also served as Senior Counsel to the Federal Programs Branch, Civil Division, Department of Justice, where she litigated cases raising constitutional, statutory and administrative challenges to federal laws, regulations and policies, as well as employment discrimination cases. Director Sharrin began her legal career as a law clerk to the Honorable Lowell A. Reed, Jr., U.S. District Court for the Eastern District of Pennsylvania.  Director Sharrin is currently an Adjunct Professor of Law at Georgetown University Law Center.
    Jay Shechter
    Senior Vice President & U.S. Head of Financial Crimes Compliance, Global Banking

    HSBC Securities (USA) Inc.

    JAY SHECHTER is a Senior Vice President and the U.S. Head of Financial Crimes Compliance for Global Banking at HSBC, covering both HSBC Securities (USA) and HSBC Bank (USA). Jay has been with HSBC for the past three years, and prior to this role served as the U.S. lead for HSBC’s Global Markets business. Before joining HSBC, Jay was the AML Compliance officer for Pershing Advisor Solutions, a BNY Mellon broker-dealer that services the wealth management and investment advisor industry. Jay began his career in Financial Crimes Prevention and Intelligence at Lehman Brothers, and was the Money Laundering Reporting officer at Dresdner Kleinwort following his role at Lehman. Jay is a graduate of Indiana University, where he received his B.A. in History.
    Stephen J. Shine
    Chief Regulatory Counsel

    Prudential Financial, Inc,

    STEPHEN J. SHINE is the Chief Regulatory Counsel for Prudential Financial, a diversified financial services company. He was previously the Senior VP and Senior Regulatory Counsel with Prudential Securities Inc. and Prudential Equity Group, LLC. Prior to assuming those positions he supervised both senior in-house litigators. He is a former state and federal prosecutor who was responsible for the prosecution of significant securities, commodities, bank fraud and FCPA cases and was awarded the US Department of Justice Special Achievement Award. As a founding co-chair of the SIFMA Anti-Money Laundering and Financial Crimes Committee he received the Securities Industry Association Distinguished Leadership Award in 2003. He has lectured, moderated, and chaired conferences on regulatory and money laundering issues worldwide. He recently conducted training sessions for regulators from the Peoples Republic of China, and the Russian Federation regulators.
    John E Smith
    Acting Director, Office of Foreign Assets Control

    U.S. Department of the Treasury’s Office of Foreign Assets Control

    John E. Smith is Acting Director of the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC), which is responsible for administering economic and trade sanctions in furtherance of U.S. national security and foreign policy goals. OFAC implements sanctions against targeted foreign states, regimes, terrorists and their financial supporters, international narcotics traffickers, transnational criminal organizations, and weapons of mass destruction proliferators. As Acting Director, Mr. Smith oversees the four components of the agency: Compliance and Enforcement; Global Targeting; Sanctions Policy & Implementation (including the Licensing, Policy, and Regulatory Affairs Divisions); and Resource Management. Mr. Smith served as an OFAC Associate Director from April 2007 to September 2014, supervising the agency’s Compliance, Licensing, Policy, and Regulatory Affairs Divisions, and as Deputy Director from September 2014 to February 2015. Prior to joining OFAC, Mr. Smith served as an expert to the United Nations’ Al-Qaida and Taliban Sanctions Committee from 2004 to 2007 and as a trial attorney at the U.S. Department of Justice from 1999 to 2004. Mr. Smith holds a JD degree from Columbia Law School in New York and bachelor’s degrees in journalism and political science from the University of Missouri-Columbia.
    David Stetson
    Co-Head, Government Sanctions Group

    Goldman, Sachs & Co.

    DAVID STETSON joined Goldman Sachs in October 2012 and serves as Co-Head of the firm’s Government Sanctions Group, and as a member of the firm’s Business Intelligence Group. He provides legal and compliance advice related to sanctions programs, particularly the sanctions administered by the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC). Prior to joining Goldman Sachs, Mr. Stetson was from 2008 to 2012 an attorney-advisor in the Office of the Chief Counsel at OFAC. In that role he advised on a wide range of licensing, regulatory, legislative, and enforcement matters relating to U.S. sanctions. Prior to his work at the Treasury Department Mr. Stetson was a counsel to U.S. Senator Dianne Feinstein on the Senate Judiciary Committee and an associate at the Washington, D.C. law firm of Covington & Burling LLP. Mr. Stetson received an A.B. in Economics and Russian from Duke University, an A.M. in Russian Studies from Harvard University, and a J.D. from Harvard Law School where he was an executive editor of the Harvard Law Review. Following law school he served as a law clerk to then-Judge John G. Roberts, Jr. on the U.S. Court of Appeals for the District of Columbia Circuit.
    Clay Stevenson
    Managing Director of Global Economic Sanctions

    Bank of America

    CLAY STEVENSON is Managing Director of Global Economic Sanctions Executive at Bank of America. Clay is responsible for the company’s economic sanctions and anti-boycott compliance efforts. Before commencing this role in 2009, Mr. Stevenson had responsibility for economic sanctions compliance at Merrill Lynch. From 1999-2007, he served with the Department of the Treasury’s Office of Foreign Assets Control (OFAC), working first in the Compliance Division and later the Designation Investigations Division. Among his roles while at OFAC, Mr. Stevenson served as the first chief of the Counter proliferation Section within the then-Designation Investigations Division where he led a team of sanctions investigators charged with targeting the assets of weapons of mass destruction proliferators and their support networks.
    Jonathan Thomas
    Co-Head, Government Sanctions Group

    Goldman, Sachs & Co.

    JONATHAN THOMAS is currently the Co-Head of the Government Sanctions Group at Goldman, Sachs & Co. where he oversees the development and maintenance of the firm’s economic sanctions compliance program. Prior to joining Goldman Sachs he was chief of Regulated Industries Oversight and Evaluation at the Office of Foreign Assets Control (OFAC) where he led the agency’s investigations into financial institutions for sanctions violations and served two terms as a State Representative in the Maine House of Representatives. Jonathan received a B.A. from the University of Maine and a Master’s degree from Tufts University.
    Craig Timm
    Deputy Chief, Asset Forfeiture and Money Laundering Section

    U.S. Department of Justice

    CRAIG TIMM is a Deputy Chief in the Department of Justice's Asset Forfeiture and Money Laundering Section in Washington, DC. Mr. Timm leads the Money Laundering and Bank Integrity Unit. His unit is responsible for prosecuting criminal violations of the Bank Secrecy Act, U.S. economic sanctions and money laundering laws committed by financial institutions and their employees. As a trial attorney in the same unit, Mr. Timm prosecuted some of the largest financial institutions in the world including BNP Paribas, HSBC and MoneyGram. Prior to joining the Asset Forfeiture and Money Laundering Section, Mr. Timm was an AUSA in the District of Arizona. He has a J.D. from Northwestern University School of Law and a B.A. from the University of Michigan.
    Brian Walsh
    Vice President and Deputy Anti-Money Laundering Officer

    Pershing LLC, a BNY Mellon company

    BRIAN WALSH is a Vice President and the Deputy Anti-Money Laundering Officer for Pershing LLC, a BNY Mellon company. In his role, Brian is responsible for the management and development of AML compliance efforts, acts as the AML control person for the on-boarding of new business, and conducts complex money laundering and securities fraud investigations. Brian represents AML Compliance on multiple risk committees throughout the Pershing/Bank of New York Mellon enterprise. Prior to joining Pershing, he was the director of Compliance Investigations at the Depository Trust & Clearing Corporation in which he directed the day-to-day operations, including coordinating investigations with member firms, regulators, and law enforcement. Brian began his career with Merrill Lynch & Co. where he was the Global SAR officer and coordinated money laundering and financial fraud investigations amongst various business units and affiliates. Brian received a B.A. in Political Science/Criminal Justice from Kean University and holds Series 7 and Series 24 registrations.
    Jeffrey Weiss
    Director and Chief Anti-Money Laundering Officer

    TD Ameritrade, Inc.

    JEFFREY WEISS is a Director and the Chief Anti-Money Laundering Officer at TD Ameritrade, Inc. In this role, he is responsible for implementation and management of the firm’s AML and OFAC Programs. Prior to joining TD Ameritrade, Jeff was managing director of Anti-Money Laundering Compliance at Knight Capital Group. From 2001 to 2004, Jeff was a managing director in the Internal Audit Department of Bear, Stearns & Co. Inc., Mr. Weiss has also held various positions in Internal Audit at Merrill Lynch, Herzog, Heine, Geduld, Inc. and Drexel Burnham Lambert, Inc. Mr. Weiss holds an M.B.A. from Penn State University, is a graduate of the Securities Industry Institute at the Wharton Business School, a former Co-Chair of the SIFMA Anti-Money Laundering and Financial Crimes Committee and former Executive Committee Member of the SIFMA Internal Audit Committee.
    Tamer Yalav
    Compliance Director

    J.P. Morgan Asset Management

    TAMER YALAV serves as BSA/AML Adviser to J.P. Morgan Securities – a retail brokerage division of J.P. Morgan Asset Management – with coverage over securities and brokerage-related matters involving the J.P. Morgan Private Bank. In his current capacity, he counsels senior and executive management on the execution of the KYC/AML program and provides guidance, advice and training on penny stock policies and penny stock controls processes at J.P. Morgan Chase & Co. Previously, he was part of the Corporate AML department at J.P. Morgan Chase & Co. where he managed a group responsible for the investigation of complex securities and futures transactions to determine potential violations of U.S. and international laws and SRO rules. Tamer has a wealth of experience in investigations involving securities fraud schemes, particularly in the area of penny stocks, coupled with extensive knowledge of federal securities laws and regulations.
    Lynn Young
    Director & Anti-Money Laundering Officer

    Pershing LLC, a BNY Mellon Company

    LYNN YOUNG is a Director and Anti-Money Laundering Officer with Pershing LLC, a BNY Mellon Company. She has spent over twenty years of her career collectively at Pershing. Lynn serves as Pershing’s Anti-Money Laundering Officer and OFAC Compliance Officer. Lynn is responsible for overseeing a staff of seventeen financial crime investigators. Her primary responsibilities include developing, maintaining and the firm’s AML and sanctions programs, investigating and reporting suspicious activity, creating, implementing and coordinating AML and OFAC training for employees, acting as principal liaison with law enforcement and regulators on AML issues. Lynn is also responsible for coordinating globally with the other Pershing affiliate AML Officers. Lynn is an active participant in a number of industry associations including the SIFMA Anti-Money Laundering and Financial Crimes Committee. She is a graduate of the Securities Industry Institute at The Wharton School and is a Certified Anti-Money Laundering Specialist (CAMS).
    Tim Zirkel
    Global Head, Anti-Corruption Compliance

    JPMorgan Chase & Co.

    TIM ZIRKEL is the Global Head of Anti-Corruption Compliance at JPMorgan Chase & Co., having joined the firm in 2011. In that role, he oversees all aspects of the firm’s Anti-Corruption Program, which promotes ethical business practices and compliance with anti-corruption laws across each lines of business. Program workstreams include internal and third party risk management controls, as well as governance, training and risk assessment. Before joining JP Morgan, Tim worked as an Ethics & Compliance Leader in the Law Department at MasterCard Worldwide. He also served for about ten years as a prosecutor and special counsel in the Manhattan District Attorney’s Office and NYC Department of Investigations, respectively. He received his J.D. from Hofstra University School of Law, where he served as an editor on the Law Review.
    Meg Zucker
    Global Anti-Money Laundering Head

    RBC Capital Markets, LLC

    MEG ZUCKER joined RBC Capital Markets in April 2014 as its Global Anti-Money Laundering Head, responsible for oversight of its AML, sanctions and financial crime programs. Prior to RBC, Meg joined PIMCO in September 2011 as its global AML, anti-corruption and sanctions officer. Meg also was the primary compliance liaison for the Firm's office in Brazil. Prior to joining PIMCO, Meg was a senior manager and counsel for Morgan Stanley for over 13 years. Among her accomplishments, Meg established and implemented all relevant requirements of the USA PATRIOT Act applicable to the institutional and private wealth businesses of Morgan Stanley's US broker-dealer. During her tenure at Morgan Stanley, Meg also developed and implemented the OFAC program for the institutional and private wealth management businesses. She also served as an AML advisor to the Firm's regional businesses in Canada, Brazil and Mexico. Prior to joining Morgan Stanley, Meg worked at Barclays Capital as its Equity Compliance Officer and in the Legal and Compliance Department at Goldman Sachs. Meg received her JD from NYU School of Law, her BA in History from University of Wisconsin-Madison, is a member of the NY Bar and has her Series 7, 63 and 24 FINRA registrations.

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