Anti-Money Laundering and Financial Crimes Conference

Anti-Money Laundering and Financial Crimes Conference

February 24-25, 2015
Marriott Marquis
New York, NY


Conference Planning Task Force

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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.
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, Compliance Surveillance Strategy Group, AML

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 world wide 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.
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.
Timothy Friedman
Vice President, AML & Anti-Fraud Compliance Department

Charles Schwab & Co., Inc.

TIMOTHY N. FRIEDMAN serves as the Vice President of the Anti-Money Laundering & Anti-Fraud Compliance Department at Charles Schwab & Co., Inc. He is a member of the SIFMA Anti-Money Laundering and Financial Crimes Committee.
Tara Loftus
Executive Director, Financial Crime Compliance


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.
Michelle Neufeld
Chief Compliance Officer

GE Capital

MICHELLE L. NEUFELD was named Chief Compliance Officer (CCO) of GE Capital, Americas in July 2014. The business provides financing for companies to purchase or lease equipment, manage vehicle fleets and acquire businesses across more than 40 industries. As the CCO, Neufeld leads our efforts to manage and mitigate compliance risk. In this capacity, she leads a team of trusted advisors who partner with the business to support growth while meeting regulatory requirements and achieving safe and sound business practices. Ms. Neufeld joined GE Capital, Americas in August 2013 as the financial crimes compliance leader. In this role, she led a team of ~70 professionals charged with implementing anti-money laundering (AML), anti-bribery and corruption, economic sanctions and trade controls programs. Prior to joining GE Capital, Neufeld led Bank of America’s AML function in North America. She also served as the AML officer and associate general counsel for the global investment bank at JPMorgan Chase and general counsel and compliance officer at The Reserve Funds. Earlier in her career, she was a staff attorney in the National Association of Securities Dealers’ department of arbitration and mediation. With more than 15 years of experience, Ms. Neufeld actively participates in government, regulatory, law enforcement and industry trade associations and forums; she is currently co-chair of the International Council of Securities Associations’ AML committee. In addition, she participates in the Financial Action Task Force’s public/private sector consultative initiative. She is a past member of Bank Secrecy Act Advisory Group and a past co-chair of the Security Industry and Financial Markets Association’s financial crimes committee. Ms. Neufeld holds a J.D. from New York Law School and a B.A. from the University of Miami.
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 & Financial Crimes Committee.
Arlene Semaya
Senior Vice President & Compliance Managing Director

JPMorgan Chase & Co.

ARLENE SEMAYA is a Senior Vice President, 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.
Stephen J. Shine
Chief Regulatory Counsel

The Prudential Insurance Company of America

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.
Jeffrey Weiss
Director and Chief Anti-Money Laundering Officer

TD Ameritrade

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.
Lynn Young
Director & Anti-Money Laundering Officer

Pershing LLC, a BNY Mellon Complany

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).
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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