Brent P. Cohen
Brent P. Cohen is the U.S. Head of AML Compliance at RBC Capital Markets, LLC responsible for oversight of AML, sanctions and the financial crime program for the institutional trading business, investment banking, corporate banking and the Royal Bank of Canada-World Financial Center branch. Prior to RBC Capital Markets LLC, Mr. Cohen served as the Director of AML Compliance within FINRA’s Enforcement Department. His primary responsibilities included 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). Before FINRA, Mr. Cohen worked at Goldman, Sachs & Co. and UBS Financial Services, Inc. Mr. Cohen 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.