ACAMS 11th Annual AML & Financial Crime Conference

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Speakers


Anna M. RentschlerKeynote Address Day One
Jane Rhodes-Wolf
Section Chief
Terrorism Financing Operations Section (TFOS), FBI

Ms. Rhodes-Wolfe entered on duty with the FBI in 1996 and was assigned to the New York Field Office where she investigated White Collar Crime and Counterterrorism violations. She served as a member of the Evidence Response Team (ERT), and in 2000 was deployed with ERT to Yemen following the attack on the USS Cole where she oversaw the collection and transport of evidence for the investigation into the attacks. On the morning of September 11th, 2001, ASAC Rhodes-Wolfe responded to the World Trade Center where she assisted with the FBI’s efforts in investigating the attacks and aiding victims. Her work on the investigation continued and in early 2002 she became a member of the PENTTBOM investigative team and the investigation of terrorist Zacarias Moussaoui.

In October 2003, she became a Supervisory Special Agent (SSA) at FBIHQ in the Office of Congressional Affairs. She was responsible for liaison with key Congressional members and staff of the Senate and House Appropriations and Intelligence Committees.

She was transferred to the Chicago Field Office in January 2006 where she served as the SSA of a Joint Terrorism Task Force and Domestic Terrorism squad. In addition to her operations responsibilities, she played a key role in Citizen’s Academy, public relations and employee development matters.

In 2009, she was promoted to Assistant Inspector at FBI HQ in the Inspection Division. She conducted reviews of FBIHQ and field office functions, responded to shooting incidents, conducted special emphasis inspections, and established protocols for Inspection Division operations.

Michael HudsonKeynote Address Day Two
Michael Hudson
Senior Editor
The International Consortium of Investigative Journalists

Michael Hudson, USA, is a senior editor at ICIJ. His two decades of work on mortgage and banking fraud has prompted media critics to call him the reporter "who beat the world on subprime abuses" and the "guru of all things predatory lending." He previously worked as a reporter for the Wall Street Journal and as an investigator for the Center for Responsible Lending. Hudson has also written for Forbes, the New York Times, the Los Angeles Times and Mother Jones.

His work has won many honors, including a George Polk Award for magazine reporting, a John Hancock Award for business journalism and accolades from the National Press Club, the White House Correspondents’ Association, the American Bar Association and the New York State Society of CPAs.

He edited the award-winning book Merchants of Misery and appeared in the documentary film Maxed Out. His latest book, THE MONSTER: How a Gang of Predatory Lenders and Wall Street Bankers Fleeced America—and Spawned a Global Crisis, was named 2010 Book of the Year by Baltimore City Paper and called "essential reading for anyone concerned with the mortgage crisis" by Library Journal.

His recent series of stories for the Center for Public Integrity, "The Great Mortgage Cover-Up," has been selected to appear in Columbia University Press's Best Business Writing, 2012.

Vikas AgarwalVikas Agarwal
Managing Director
PwC

Vikas is a Managing Director within the advanced risk and compliance analytics practice for Risk Assurance within PwC. Vikas leads the financial services vertical within the practice focused on fraud, AML, risk, and regulatory reporting. He is responsible for solution development and deploying business intelligence and analytical techniques using a myriad of vendors.

Prior to joining PwC, Vikas was the global head of analytics for Goldman Sachs where he served in the Internal Audit department. There, he led a team responsible for utilizing analytics to conduct more effective and efficient analysis using advanced analytics within risk assessments, audits, and continuous monitoring.

Vikas is currently a candidate for his M.B.A. from Columbia Business School. He has previously completed the Certified Regulatory Professional program from the University of Pennsylvania, messaging standard changes and their resultant operational and technology impact.

Lisa ArquetteLisa D. Arquette,CAMS
Associate Director
Division of Risk Management Supervision
Federal Deposit Insurance Corporation (FDIC)

Lisa is responsible for the FDIC’s policy, guidance, and examination procedures related to the Bank Secrecy Act (BSA), anti-money laundering (AML), counter-financing of terrorism (CFT), Office of Foreign Assets Control, and the FDIC’s international assistance related to AML/CFT initiatives.  Ms. Arquette is also responsible for oversight of the FDIC’s application process related deposit insurance, mergers, changes of control, and transactions associated with private investors’ acquisition of failed institutions.

Previously, Ms. Arquette administered programs related to fraud, fiduciary activities, government and municipal securities dealers, registered transfer agents, and the FDIC’s background check process.s. Arquette previously served as the Chairperson of the Federal Financial Institutions Examination Council’s BSA/AML Working Group and represents the FDIC on the BSA Advisory Group. Ms. Arquette has a Master of Business Administration University of Houston, Bachelor of Criminal Justice New Mexico State University, graduated from the Stonier Graduate School of Banking, Georgetown University, and is a certified Anti-Money Laundering Specialist.

Cynthia A. Barie, CAMS Vice President AML OperationsCynthia A. Barie,CAMS
Vice President, AML Surveillance Operations, Tuning & Optimization
PNC

Cindy has over twenty-five years in the financial services industry including operations consulting, conversions, product management, project management, operations analysis, business analysis and management. Cindy has worked in AML for over 7 years at two major financial institutions. Her her work included transaction monitoring system implementation, risk integration, case management system development and implementation, and establishing tuning and optimization functions. She is currently furthering optimization through statistical analysis and modeling. In February of 2012, Cindy was named the Chairman of the Oracle SMART user group.

Elizabeth Paige Baumann
Vice President, Chief Anti-Money Laundering Officer
Fidelity Investments 

Elizabeth Paige Baumann is Fidelity's Chief Anti-Money Laundering Officer and has played a key role in the development and enhancement of the Fidelity financial institutions' anti-money laundering (AML) programs since April of 2002. Ms. Baumann is currently co-chair of SIFMA's AML and Financial Crimes Committee. She also represents ICI on several sub-committees of the Bank Secrecy Act Advisory Group (BSAAG). Ms. Baumann has been with Fidelity since September 1999. Prior to Fidelity, she worked at Charles Schwab in San Francisco for 6 years. Ms. Baumann earned her J.D. from the Tulane School of Law and her B.A. from Trinity College in Hartford, Connecticut. She is a member of both the California and Massachusetts bars.

Steven Beattie, CAMS Steven Beattie, CAMS
Principal, Financial Services
Ernst & Young

Steve is the Anti-money laundering (AML) services leader for EY. He brings operational, technology and process improvement experience starting with his prior risk and controls assessment leadership role within a global financial services company. He is responsible for America's leadership and global coordination of EY’s AML and economic sanctions-related efforts across banks, asset managers, broker/dealers and insurance companies. He brings extensive hands-on experience in compliance organization/structure, risk assessment and mitigation, control assessment and operational and technology improvement strategies. Steve has worked and presented with various regulatory authorities as firms have endeavored to address regulatory expectation, and is a frequent speaker on current and emerging topics and challenges. Most recently, he has been a leader of industry roundtables for addressing emerging OFAC-related challenges, with particular focus on the future implications of SWIFT messaging standard changes and their resultant operational and technology impact.

Kieran BeerKieran Beer
Editor-in-Chief
ACAMS moneylaundering.com

Kieran Beer has been the editor-in-chief and editorial director for MoneyLaundering.com since January 2007. Prior to that he was executive editor of Bloomberg Wealth Manager, a trade magazine for financial advisers to wealthy individuals, and he also served as a staff writer for Bloomberg Markets Magazine. Beer has been a financial journalist for more than 20 years, beginning his career at Institutional Investor, where he worked as a reporter and editor in the newsletter division and was a contributor to Institutional Investor magazine. Beer served as editor-in-chief of The Bond Buyer, founding editor of Thomson Municipal News/The Bond Buyer Wire and as the editor of the American Banker. Beer writes a column and periodically reports on money laundering and bank compliance. He has served as a panelist and moderator at industry conferences and appeared on CNN, CNBC, WCBS and spoken on NPR and Bloomberg radio (WBBR).

Photo not availableLauren D. Bensinger
Vice President and Chief Compliance Officer
ING U.S. MLRO

Photo not availableNicholas Bogdan, CAMS
IT Consultant
Bogdan Consulting Services

Nicholas Bogdan is president and founder of Bogdan Consulting Services, LLC, a company that provides information technology and data analytic services to federal government clients. Since 2004, Mr. Bogdan has provided data exploitation expertise to the FBI's Counterterrorism Division. He specializes in the bulk exploitation and analysis of financial datasets and has created innovative tools, analyses, and processes used throughout the FBI and other U.S. government agencies. Mr. Bogdan holds a B.A. from Vanderbilt University.

Brent S. Bramwell, CAMS, CIA, CFSA, CRMABrent S. Bramwell, CAMS, CIA, CFSA, CRMA
Senior Manager – Internal Audit
PayPal

Brent Bramwell is a Senior Manager in the PayPal Internal Audit Department with responsibilities for global audits of compliance, AML and risk management.  He has over ­­15 years of progressive leadership experience in various roles in financial services spanning Internal Audit, Compliance Testing, Internal Control and Operation Management.  He has held both US centric and global roles at PayPal, American Express, Goldman Sachs and GE Capital.  He is an active member of ACAMs and the Institute of Internal Auditors (IIA).  He maintains professional licenses as a CAMS, CIA, CFSA and CRMA. 

John J. ByrneJohn J. Byrne, Esq., CAMS
Executive Vice President
ACAMS

John joined ACAMS as Executive Vice President. John is an internationally-recognized regulatory and legislative attorney with over 25 years of experience in financial services issues, with expertise in regulatory oversight, policy and management, anti-money laundering, privacy and consumer compliance. He was most recently President of Condor Consulting, LLC and prior to that the Global Regulatory Relations Executive for Bank of America and the Director of the American Bankers Association's Center for Regulatory Compliance. John has received a number of awards, including the Director's Medal for Exceptional Service from the Treasury Department's Financial Crimes Enforcement Network (FinCEN) and the ABA's Distinguished Service Award for his career work in the compliance field.

No photo availableJames Candelmo, CAMS
Executive Compliance Director and BSA/AML Officer
Ally Financial Services

Jim is responsible for all anti-money laundering investigations, operations, programs and global sanctions as well as other compliance activities.

Before joining Ally, Jim was the Deputy Criminal Chief (Terrorism/National Security) for the United States Attorney’s Office in Raleigh, North Carolina, where he was responsible for investigation and prosecution of all national security cases. Prior to that, Jim served as a Senior Trial Attorney with the Department’s elite Counter Espionage Section and Fraud Section. He is a veteran of both the Department’s New England Bank Fraud Task Force and San Diego Bank Fraud Task Force.

Nelson CardonaNelson Cardona
Senior MLRO Advisor and Global Head for Sanctions
Barclays

Nelson is the Global Head for Sanctions of Barclays’ corporate and investment banking businesses, where he is responsible for the sanctions compliance program globally and serves as Senior Advisor on anti-bribery and corruption, and economic sanctions matters. Prior to joining Barclays in 2009, he was the Global Head of Sanctions Compliance for Citi.  During his 15 years in Citi, he held various compliance positions at the corporate center, where he managed firm-wide bank regulatory, sanctions and FCPA compliance initiatives, and the corporate and investment bank, where he led the compliance function for the Latin America Region and Citibank, Puerto Rico. Nelson has degrees in law and in industrial engineering.

Vasilios P. ChrisosVasilios P. Chrisos, CAMS
Americas Anti-Money Laundering and Economic Sanctions Director
Macquarie Compliance | Macquarie Group

Vasilios is the Americas Anti-Money Laundering (AML) and Economic Sanctions director for Macquarie, Australia’s largest investment bank. He is responsible for managing the company’s AML and sanctions programs across all business groups and legal entities in North and South America. This includes coordinating the completion of risk assessments, developing and implementing policies and procedures, ensuring employees receive periodic AML training, acting as an adviser to stakeholders regarding AML/CTF and sanctions matters, managing investigations, as appropriate, ensuring Suspicious Activity Reports are prepared and filed timely, performing compliance testing, participating in the new business/product approval process, and chairing various AML Working Groups across the region. Prior to joining Macquarie, Vasilios helped lead Ernst and Young’s AML advisory practice by managing projects at large, complex institutions.

Tara M. DabekTara M. Dabek, CAMS, AMLP, AAP
Anti-Money Laundering / Fraud Project Manager
Discover Financial Services

Tara Dabek is a member of the U.S. AML Team of BMO Harris, where she serves as Compliance Analyst.  She joined BMO Harris in July 2012 and is heavily involved with AML risk assessment related duties.  Prior to joining BMO Harris, Tara worked as a VP & BSA Manager at Citizens First National Bank and as a Bank Consultant Supervisor for Lindgren, Callihan, Van Osdol& Co., Ltd. for over five years, specializing in BSA, ACH, and Compliance. Tara graduated with her Bachelor of Science Degree in Accountancy from Northern Illinois University, DeKalb, Illinois in 2004.  She earned her Certified Anti-Money Laundering Specialist (CAMS) designation in 2005, her Anti-Money Laundering Professional (AMLP) designation in 2007, and her Accredited ACH Professional (AAP) designation in 2008. She also serves as Co-Secretary of the ACAMS Chicago Chapter. 

Tara M. DabekSandra L. DePoalo
Managing Director, AML Compliance, Head of AML Monitoring & International AML Compliance
Bank of New York Mellon

Sandra is a Managing Director and the Global Head of Legal/Compliance/Anti-Money Laundering (AML) Audit at BNY Mellon. She is currently responsible for the company’s Legal, Compliance, and AML audit coverage, as well as the AML Audit department training program.

Prior to joining BNY Mellon in March of 2009, she was a First Vice President and Audit Manager in the Corporate Audit department at Merrill Lynch, responsible for the firm’s audit coverage of AML, Legal, Compliance, Research, Investment Banking and Global Private Equity. Before joining the Corporate Audit department, Sandra was the Global Economic Sanctions Counsel in Merrill Lynch’s Anti-Money Laundering Compliance group.  In this role she was responsible for issues involving OFAC and global economic sanctions, including the development and implementation of a firm-wide global sanctions scanning system. Additional responsibilities included money laundering prevention, FCPA compliance, government official entertainment, political contributions and lobbyist registration/reporting

Sandra held various roles in her tenure at Merrill Lynch, including Senior Counsel in the Regulatory Law group, Counsel in the Corporate Law department and Compliance Counsel for the Municipal Markets department.  She received her BA from Douglass College-Rutgers University and her JD from Pace University School of Law.  Sandra is admitted to practice in NY and NJ.

Alejandra Elsea-Belousek, CAMSAlejandra Elsea-Belousek, CAMS
Director, Global Cards
Citibank

Alejandra is an international compliance professional with more than 10 years of experience, she joined PayPal, market leader in Internet and merchant payment services and processing, as a senior compliance manager in 2004 and since 2008 she has been the Director, Global AML Compliance for PayPal Europe, where she was in charge of building e-money CIP/KYC strategy globally, designing, implementing and maintaining country risk framework, and working to decrease AML operational costs without increasing AML risk. Among other achievement with PayPal, Alejandra worked directly with Canadian and U.S. regulators and government officials on draft legislation and worked in collaboration with U.S. Treasury Department to develop International Law Enforcement Guide to Internet Payment Systems. Alejandra is a consultant and faculty member for the AML Training Institute of Comptegrity, Inc., which provides a broad-range of professional compliance training and consulting. Previously she worked as Regional Manager for America’s Software Corp., a primary provider of AML and compliance-related software/services for domestic and international financial institutions, and before that Alejandra was Assistant Vice President, Loan Portfolio Manager, Global Special Asset Management at Standard Chartered Bank, Alejandra graduated from the University of California and obtained the MBA from Thunderbird, American Graduate School of International Management.

Noreen M. FierroNoreen M. Fierro
Vice President, Chief Compliance Officer
Group Insurance Division
Prudential Financial

Noreen is a graduate of Montclair State University (1986) and Seton Hall School of Law (1992). She began her career as an attorney with the law firm of Bressler, Amery & Ross, P.C., where she was a Securities Associate representing national and regional broker-dealers in securities and employment arbitrations and in federal and state court litigation. She then joined the law firm of Edwards & Angell, LLP, where she represented Fortune 100 Companies in all aspects of mergers and acquisitions. 

In 2002, Noreen joined UBS Financial Services, Inc, where she was a Corporate Vice President, Associate General Counsel, and was a member of the Money Laundering Prevention Group. In this capacity, she was responsible for AML investigations, drafting of the firm's anti-money laundering policies and procedures, and advising on various compliance responsibilities imposed by the USA PATRIOT Act, Bank Secrecy Act, and all other applicable anti-money laundering regulations. She also served as the Manager of the Money Laundering Prevention Group's Legal Staff.

In 2005, Noreen worked as a Senior Manager for Deloitte Financial Advisory Services, LLP, in their Forensic and Dispute Services, Anti-Money Laundering Group. In this capacity, she was responsible for providing clients with subject matter expertise in the areas of AML compliance, Know Your Customer due diligence, and overall USA PATRIOT Act and Bank Secrecy Act compliance.

In May 2006, Noreen joined Prudential Financial as the Corporate AML Officer. She is in charge of the Anti-Money Laundering Unit, which services the domestic business units, including various broker-dealers, insurance companies and fund complexes. In December 2006, Noreen was also appointed the Corporate FCPA Compliance Officer serving the global enterprise. She serves in both capacities today.  In addition to her roles as the AML and FCPA Compliance Officer, Noreen is responsible for compliance oversight of Prudential Real Estate and Relocation Services, Inc.

James FinnertyJames Finnerty, CAMS
Senior Vice President and Associate Deputy Global Anti-Money Laundering Officer - United States
TD Bank

James Finnerty joined TD Bank in March 2011 as Group Manager of the Global Special Investigations Unit of the Global Financial Intelligence Unit and was promoted in August 2011 to lead the Financial Intelligence Unit in the United States. He is a highly experienced attorney with experience both as U.S. Department of Justice prosecutor and compliance counsel and possesses an expertise in complex litigation and investigations involving financial crimes, fraud, corruption, and money laundering.    He has compliance-related expertise in building and managing large, international financial services compliance, ethics and integrity, anti-money laundering, and anti-corruption programs.

Before joining TD, Jim was an Assistant United States Attorney in the United States Attorney’s Office for the District of Connecticut. As a federal prosecutor, he investigated and prosecuted complex frauds, violent criminal organizations, and public corruption. He also taught at the United States Department of Justice’s training school.  After leaving the Department of Justice in 2006, he joined a global corporate lending and equity investment division of General Electric Capital as its Deputy Chief Compliance Officer, where, among other things, he built and then managed the division’s anti-money laundering program.  In 2009, Jim became Senior Counsel, Compliance and Regulatory, for General Electric Capital-Americas, where he focused on internal investigations, including those related to corruption, employee misconduct, money laundering, and fraud. Jim also has acted as a consultant on anti-corruption matters, including Foreign Corrupt Practices Act-related issues, to a leading global management consulting, technology services, and outsourcing company where he advised Legal, Compliance, and international business units on third party intermediary and transaction due diligence, and country and transaction corruption risk and mitigation.

Jim received a Bachelor of Arts in International Studies and a Master of Arts in International Relations and International Economics from The Johns Hopkins University. He received his JD from Fordham University School of Law.  He is a Certified Anti-Money Laundering Specialist and teaches corporate compliance and ethics at Quinnipiac University School of Law.

Donna DeMartino, CAMSDonna DeMartino, CAMS
Senior Director, Global Forensic and Dispute Services
Alvarez and Marsal

Donna DeMartino is a Senior Director with Alvarez & Marsal’s Dispute Analysis & Forensic Services in New York where she is currently the lead in the BSA/AML and Compliance Technology Service Line. She brings more than 20 years of management consulting experience in leading and managing large, complex technology implementation efforts, investigations, BSA/AML Look Backs and Forwards and has supported compliance, forensic, dispute and quarterly audit projects.

Ms. DeMartino has spent more than 10 years focusing on regulatory and compliance engagements within the financial services industry, specifically banking and brokerage.  While she specializes in compliance related technologies, such as interdiction (OFAC), transaction monitoring applications, case and SAR management systems, she also has in-depth expertise in the policies and procedures that are captured in the business rules within the compliance’s technology infrastructure (i.e., dynamic risk scoring, customer and enhanced due diligence, wire transfer transactions, e-payments, etc.). 

From a project management perspective, she has provided management oversight to customer remediation efforts, transaction monitoring reviews and assessments, gap analysis, sanction reviews, work flow and case management product selections, testing, refinement and implementations. In addition, she has assisted clients in calibrating their thresholds and settings within the compliance technologies to accommodate enhancements and augmentations made to the financial institutions’ business models. Moreover she has built strong working relationships with the major vendors in the compliance space.

Prior to joining A&M, Ms. DeMartino was a Senior Manager in Enterprise Risk Services Group at Deloitte & Touche. She was also a Senior Manager in the Analytic and Forensic Technology group in Deloitte’s Financial Advisory Services practice and Deloitte Consulting.

Prior to Deloitte, Ms. DeMartino was with Pinkerton Consulting and Booz Allen & Hamilton, where she was responsible for managing a number of application development efforts, providing business improvement and IT strategy expertise for the Financial Services Sector.

Ms. DeMartino earned a dual bachelor's degree in arts and sciences from Syracuse University with honors. She is also a certified anti-money laundering specialist.

Mo-Yun Lei FongMo-Yun Lei Fong, CAMS
Finance Director and Chief Compliance Officer
Google Wallet

Mo-Yun Lei Fong is a finance director and Chief Compliance Officer for Google Wallet. Prior to Google, Mo was at PayPal in Merchant Risk Management which reviewed SMB customers for the Website Payment Pro product as well as partnerships with large verticals and merchants.  She is also involved in K-12 education initiatives and was the Executive Director for the Stanford Educational Leadership Institute which was a joint program between the Stanford GSB and GSE.  Mo holds an MBA from Harvard Business School, and a BS in ChemE and MA in Education from Stanford University.

Tramond FrenchTramond French, CAMS, CRCM, CIPP
Senior Director, Strategy, Governance and Product Development
PayPal

Tramond (Trey) French is a Senior Director for PayPal Compliance, responsible for Strategy, Governance and Product Development. He is responsible for building out the compliance management systems, comprised of risk assessment, policies, training, communication, monitoring and testing, and metrics/governance, and also ensure that Compliance considerations are built into review of new products and business initiatives globally.  Trey joined PayPal in October 2010 from Bank of America where he most recently held the position of Vice President and Senior Policy Manager in Corporate Compliance.  In that position, Trey was responsible for Regulatory Change Management across all lines of business.  In addition, Trey has held management positions at Bank of America and MBNA, He has a strong background in card program compliance, including anti-money laundering, CARD Act compliance, Operations compliance and Governance. Trey is a Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS) and Certified Information Privacy Professional (CIPP).

Susan GalliSusan Galli, CAMS
Senior Vice President, AML Strategic Planning Director
HSBC North America Holdings

Susan Galli is currently the Director of the Anti-Money Laundering Strategic Planning Office, part of the AML Compliance Department for HSBC North America Holdings, Inc.  (“HNAH”) where she has responsibility for ensuring that the firm’s AML Program continually adapts to address changing risks and trends based on external events and evolving business strategies.  This office also fulfils an outreach role on AML matters with HSBC Group affiliates worldwide.  Prior to that she had responsibility for developing HNAH’s enterprise-wide AML Policy and Program after joining the firm in December 2010.

Ms. Galli served as a Managing Director and Practice Leader for the AML Compliance Risk Advisory & Forensics Practice of a big-five consulting firm. Ms. Galli, who is fluent in English and Spanish, has over 18 years of senior-level anti-money laundering experience providing a vast array of services including developing AML risk scoring policies and procedures for various business lines, implementing automated customer acquisition due diligence processes for the correspondent bank and corporate bank accounts of Citibank’s Latin America Division and developing and approving the Customer Identification Program Procedures and exception requests for business lines in Latin America. Additionally, she has conducted in-depth AML reviews of various financial institutions’ AML programs as part of internal compliance monitoring and testing or as part of mergers and acquisition due diligence. She has also developed and delivered numerous AML training sessions for financial institutions, banking associations and government agencies in the U.S. and abroad. She has acted as a course instructor for the ACAMS certification exam preparation course and developed the FIBA Correspondent Banking AML course.  In addition, she has developed and taught an AML course in Spanish for the Cámara de Banco Privados e otras Instituciones Financieras in San José, Costa Rica.

Previously in her career, Ms. Galli served as the Senior Anti-Money Laundering Coordinator and a member of Citigroup’s Global Anti-Money Laundering team, as well as the Latin America AML Director for Citigroup businesses in Latin America.  She served as the Head of AML Compliance for Grupo Santander’s U.S. entities, and was the Head of AML Compliance for Citicorp.  She was also a member of the U.S. Treasury Department’s Bank Secrecy Act Advisory Group (“BSAAG”) and the Bank Secrecy Act Advisory Group Funds Transfer Subgroup, representing both Citicorp and the industry.

Jennifer GardnerJennifer Gardner, CAMS
Assistant Vice President, BSA/AML Officer
Oxford Bank & Trust

Jennifer is a fifteen year veteran of the banking Industry with a strong background in banking operations.  Currently she is the BSA/AML/OFAC Officer for Oxford Bank & Trust.  She is solely responsible for all BSA/AML oversight and monitoring for the bank. Among her more notable achievements, she is a member of ACAMS (Association of Certified Anti-Money Laundering Specialists) and participated in the FinCEN’s Town Hall meeting which was held in Chicago in 2010. Jennifer is the Vice President of the Chicago Compliance Association. Jennifer received her CAMS Certification in 2007 and she is an active member of the Chicago ACAMS Chapter.

Renato GiammarcoRenato (Ron) Giammarco, CAMS
Partner, Financial Services
Ernst & Young

Ron is a New York-based Financial Services Partner in EY’s Information Technology Advisory Services (ITAS) practice. He has over 18 years of experience in the financial services industry serving Asset Management and Banking and Capital Markets clients in the areas of compliance, risk and finance technologies. Within ITAS, Rento serves as the Compliance Technology Enablement service line leader. In this role, he is responsible for developing IT and data related solutions to assess, implement and improve compliance related processes and activities.

Michael GrossmanMichael Grossman, CAMS
Vice President, Global Anti-Money Laundering Unit
The Northern Trust Company

Michael Grossman is a Vice President at The Northern Trust Company and serves as the AML/BSA Officer for Northern Trust’s Personal Financial Services (PFS) line of business.  In this role, Michael is responsible for coordinating and monitoring day-to-day BSA/AML compliance for the PFS operating units which include Private Banking, International Private Banking and Trust & Fiduciary. Some of Michael’s specific responsibilities include preparing and presenting AML compliance metrics to the Board of Directors, PFS Senior Management and Northern Trust’s Anti-Money Laundering Oversight Committee, managing the entity level and client AML risk assessment processes and acts as liaison for regulatory exams, audits, and monitoring & testing reviews. Prior to joining the Northern Trust in 2007, Michael served as an Anti-Money Laundering Advisory Officer at LaSalle Bank, N.A. in Chicago. Michael received a M.B.A. degree from DePaul University and a B.S. degree from Illinois State University. Michael is a member of the Association of Certified Anti-Money Laundering Specialists and currently serves on the Board of Directors of the Chicago Chapter of the Association of Certified Anti-Money Laundering Specialists. Michael is also a member of the Association of Certified Fraud Examiners. 

Steve GurdakSteve Gurdak, CAMS
Supervisory Analyst
Washington Baltimore HIDTA-NVSI

Steve Gurdak is the group supervisor of Northern Virginia’s Financial Initiative (NVFI). As an Alexandria Police Detective he help found and establish this initiative as a national model for the aggressive use of SARs in the initiation of money laundering and financial investigations.  Steve has over 30 years of police experience.  He has specialized in money laundering investigations since 1995, retiring from the Alexandria Police in 2010 to continue supervision of the initiative through Washington Baltimore HIDTA. Steve also regularly trains new detectives in general investigative skills for the Northern Virginia Criminal Justice Academy as part of the “New Detectives” course he helped  design. 

Nerissa P. HallNerissa P. Hall, CAMS
Director, Head of US AML Compliance
Credit Suisse

Nerissa Hall currently serves as Head of US AML Compliance at Credit Suisse, since June 2011. Her current role includes managing the end to end AML program for all of Credit Suisse’s (“CS”) U.S. legal entities engage in Private Banking, Investment Banking (“IB”) (sales and trading/advisory), Asset Management, and Fund Administration business including prime brokerage and corporate banking within the IB division as well as Credit Suisse’s bank branch in New York and Cayman Islands. Nerissa has worked for the last 20 years in New York City at some of the best known global financial institutions, including Morgan Stanley, HSBC Securities (USA) Inc., and CIBC, in addition to her current role at Credit Suisse. Nerissa's roles have covered everything from back office to operations to Compliance. Nerissa has deep knowledge of financial markets, various types of investments, and the tools used to trade in those markets, including experience in online securities trading both as an individual investor and surveillance duties through her various roles. 

Nerissa's experience includes being an integral part of developing comprehensive AML risk assessment frameworks, identifying inherent money laundering vulnerabilities, establishing customer risk ranking protocols, designing AML compliance programs, implementing policies, procedures, and controls, creating AML governance structures, establishing Enhanced Due Diligence (EDD) protocols, and developing and implementing transaction monitoring capabilities.  Nerissa has worked with financial institutions that were either undergoing or facing regulatory enforcement actions and been involved in the construction of action plans and communication strategies with regulators, including regular updates on the progress of remediation efforts.  

Nerissa holds a Bachelor of Science degree in Communications Arts (Advertising) from St. John's University (1986), is a Certified Anti-Money Laundering Specialist ("CAMS"), holds numerous FINRA licenses and is a member of the SIFMA AML & Financial Crimes Committee, BSAAG Subcommittees in SAR and Securities and Futures, Investment Company Institute AML Compliance Working Group, ABA AML Committee, and ACAMS.

Anthony Hannem
Vice President, Global Security & Investigations
TD Bank Group

Anthony brings over 22 years of in-depth global security and investigative experience. During his career, he has held leadership roles in security with a number of global organizations, including Husky IMS, Research in Motion and Sun Life Financial. Anthony has had global responsibility for security strategy, investigative services, physical and electronic security and risk management. Anthony joined TD Bank Group in April 2010; he currently holds the role of Vice President Global Security & Investigative Services.

Anthony studied Education and Business at Acadia University in Wolfville, Nova Scotia.

Peter HazlewoodPeter Hazlewood
Global Head, Financial Crime Risk Operations
Group Financial Crime Risk
Standard Chartered Bank

Peter Hazlewood is the Standard Chartered Bank executive with direct responsibility for managing Financial Crime Risk (FCR) operations globally. The FCR Programme at Standard Chartered Bank is now fully integrated on a global basis having undergone a two year model transformation.  Hazlewood designed and implemented the new model and now manages a USD34MM budget and 600 FTE. 

Headquartered in London and operating in over 70 countries worldwide, Standard Chartered is an emerging markets specialist with a strategic focus on Asia, Africa and the Middle East.

Hazlewood previously served in Hong Kong law enforcement, specializing in complex white collar crime. He was recruited by JPMorgan Chase in 1996 and worked in various positions in Hong Kong, Singapore and the USA. His last appointment at JPMC was in Corporate AML Compliance, New York. Immediately prior to joining Standard Chartered, Peter was Managing Director, Compliance Services and Security, DBS Group, the largest financial services group in the South East Asia.

Hazlewood has an MBA (distinction) from the University of Hull (UK).

David HickDavid Hick, LLB, ACA
Managing Director
Head of Audit, Americas - Group Internal Audit
Standard Chartered Bank

David joined Standard Chartered Bank in September 2004, where he is currently a Managing Director and the Head of Audit, Americas for Group Internal Audit.  In this role he has responsibility for oversight of all audit activities in the Americas region.

David began his career with Price Waterhouse in London before transferring to New York in 1984, where he became a senior manager in the firm's financial services practice, serving clients such as JP Morgan, UBS and Nomura. Since leaving PW in 1991, he has held positions as Audit Director for ING Barings, Credit Agricole Indosuez and Daiwa Securities America Inc. in New York. Before joining SCBNY he was a partner in a small consulting firm providing regulatory-related services to broker-dealers. David's senior industry positions have included serving as Chairman of the Association of International Bank Auditors (AIBA), President of the Association of Chartered Accountants in the United States and a member of the Executive Committee of the Securities Industry Association Internal Audit Division. He is currently a Director of the AIBA. David is a member of the Institute of Chartered Accountants in England and Wales. He received his LL.B. from the University of Exeter in 1980.

Mason Hinkle
Senior Vice President, Deputy BSA Officer
BSA Operations
Financial Crime Risk Management
Union Bank

Jeffrey HoudeJeffrey Houde, CAMS, CIA
Vice President and Director - Enterprise AML Audit
BMO Financial Group

Jeff manages a team of auditors responsible to complete BSA/AML independent testing for BMO Financial Group, U.S. operations.  BMO, the Bank of Montreal is one of the big five banks in Canada and is ranked at number 150 on the Forbes Global 2000 list.  BMO has a substantial U.S. presence, ranking seventeenth in the U.S. with $117 billion in assets.  BMO serves U.S. clients through BMO Harris Bank, a major U.S. Midwest personal and commercial bank, and BMO Private Bank, with wealth management offices across the United States, as well as BMO Capital Markets, the organization’s North American investment and corporate banking division. Jeff joined the newly formed U.S. AML Audit Team in 2010 and was instrumental in designing and implementing the overall U.S. AML independent testing structure. Jeff came to the U.S. AML Audit Team from the Private Client Group Audit Team, where he was an Audit Manager focusing on wealth management operations in BMO Private Bank.  Jeff is active in the AML community, obtaining his CAMS certification in 2010 and is currently in the process of obtaining his CAMS-Audit advanced certification.  Jeff is also a Certified Internal Auditor, earning his certification in 2007.

Jeffrey M. Johnston, CAMS
Senior Vice President, Global AML Compliance
Northern Trust

Jeff Johnston is a Senior Vice President and Compliance Manager of the Anti-Money Laundering Financial Intelligence Unit (“FIU”) of Northern Trust.  In this capacity, Jeff is responsible for all money laundering and terrorist financing investigations involving Northern Trust’s U.S. operations and foreign correspondent banking business. Jeff is the primary liaison with law enforcement for AML and terrorist financing matters and is the point of contact listed on all Suspicious Activity Reports filed by Northern Trust. 

Prior to joining Northern Trust in 2009, Jeff managed Bank of America’s AML Investigations Unit located in Chicago. Jeff also held a similar role at LaSalle Bank, N.A. prior to the acquisition of LaSalle Bank by Bank of America.

Prior to LaSalle Bank, Jeff was a Senior Associate in the Forensic & Dispute Services practice at Deloitte Financial Advisory Services LLP in Chicago, specializing in white collar crime investigations.

Jeff received a Bachelor of Science degree in Finance from the University of Illinois, Champaign-Urbana, in May 2001.  

Jeff is a member of the Association of Certified Anti-Money Laundering Specialists (ACAMS) and received his CAMS certification in 2006.

Michael D. KelseyMichael D. Kelsey, CAMS
Compliance Managing Director
JPMorgan Chase

AJ KhanAJ Khan, Esq., CRCM, CAMS
Senior Business Leader
Global AML/ATF
Visa

AJ Khan recently joined Visa Inc. as a Senior Business Leader and currently manages the Global AML/ATF team. AJ supports and manages the development of programs to maintain and strengthen Visa’s anti-money laundering and anti-terrorist financing controls.  AJ has over 12 years of experience in AML, compliance, and enterprise wide risk management at large financial institutions and as an examiner. As a Vice President and Team Leader with Union Bank, AJ led enterprise wide compliance projects and implemented key enterprise wide programs impacting both compliance and AML. At the Federal Reserve Bank of San Francisco, AJ was a Compliance Examiner focusing on regional and community banking institutions. AJ also has experience creating testing and monitoring programs. AJ received his BA from the University of California, Berkeley and his JD from Santa Clara University, School of Law. AJ has earned his CRCM and CAMS designations and is a Member of the State Bar of California.

Nicolas E. KhouriNicolas E. Khouri, CAMS
Senior Director, Compliance Audit Services
Ally Financial Services

Nicolas Khouri is currently a Senior Audit Director at Ally Financial overseeing Compliance and Legal. As part of his role, Nicolas advises management and senior leadership on industry best practices and hot topics for compliance including BSA and AML. Further, Nicolas manages the Compliance Center of Excellence that supports the international and domestic audit teams in conducting Compliance and AML reviews. 

Nicolas has over 14 years of financial institutions and investment banking auditing experience focusing mainly on AML and International Operations. Prior to joining Ally, Nicolas spent 7 years as an AML auditor at Wachovia/Wells Fargo Bank.  Over the years, Nicolas has developed in depth knowledge in international AML regulations, including Chinese, Japanese, German, Canadian, Mexican and UK laws.

Nicolas holds an MBA in Finance and International Business from the George Washington University and is a certified anti-money laundering specialist (CAMS) since 2006. In addition, Nicolas is a founding member of the Canadian Anti-Money Laundering Institute (CAMLI) and holds the designation CAMLI Practicing Associate (CAMLI-PA).

Peter Kwan, CAMS
Director, Forensic Technology Services
Alvarez and Marsal

Peter Kwan is a Director in the Forensic Technology & Security Practice within Alvarez & Marsal’s Global Forensic and Dispute Services practice in New York. He brings 9 years of management consulting experience in executing and managing data analytics efforts, BSA/AML Look-back reviews, and strategic database design and implementations.

Mr. Kwan specializes in data analysis, data manipulation techniques, Excel spreadsheet automation, database development, data quality management, and business intelligence reporting.

Currently, Mr. Kwan is assisting a regional bank with their implementation of a new AML software package. Previously he has worked on a BSA/AML technology assessment for a large Latin American bank in Mexico. While at A&M, he has helped numerous clients with BSA/AML technology assessments, systems validations, as well as on regulatory mandated Lookbacks to detect suspicious transactional activity and OFAC screening reviews.

Prior to joining A&M, Mr. Kwan worked in the Data Management group at PricewaterhouseCoopers (PwC).  His past project work has focused primarily on the following areas for clients in the Financial Services industry – Anti-Money Laundering, Regulatory Reporting, Audit Automation and Business Intelligence.

Mr. Kwan received a Bachelor’s degree in Computer Science from Binghamton University. He has been a Certified Anti-Money Laundering Specialist (with the ACAMS organization) since 2006.

Jeff LavineJeff Lavine 
Partner, Financial Services
Regulatory Practice 
PwC

Jeff Lavine is a Partner in the Financial Services Regulatory practice of PricewaterhouseCoopers, resident in Washington, D.C. Jeff advises US and international banks, non-bank financial institutions, and regulatory agencies on optimizing controls, compliance, supervision, examination and audit effectiveness, and anti-money laundering matters.

Specialties: Jeff has led numerous internal control review engagements, conducted money laundering investigations, advised regulators seeking to optimize the efficiency and effectiveness of their examinations, assisted financial institutions in improving current operations and compliance processes, and enabled firms to offer new products and services that require regulatory approval.

Lorraine B. LawlorLorraine B. Lawlor, CAMS
Vice President, Global Sanctions
Governance Director
Wells Fargo Bank

Ms. Lawlor is in the Governance office of the Financial Crimes Risk Management group at Wells Fargo & Co. In this capacity, she helps to develop, administer and oversee the company’s Financial Crime Risk Management program, particularly with regard to compliance with economic sanctions laws and regulations. Working with the lines of business and the operational areas of the company, she helps to ensure that the company fully understands its sanctions risks and establishes and maintains adequate controls to mitigate those risks. 

Prior to taking the position at Wells Fargo, Ms. Lawlor was the Chief of Compliance Programs at the Office of Foreign Assets Control at the U.S. Department of the Treasury. In that capacity, she played an integral role in the development, implementation and enforcement of U.S. economic sanctions, particularly as they related to the regulated financial community. She played a critical role in the drafting of the OFAC module in the FFIEC’s AML/BSA Examination Manual, was a primary architect of OFAC’s Enforcement Guidelines published in 2009, and was deeply involved in all enforcement actions taken by OFAC against regulated financial institutions over more than two decades. On a daily basis, she provided guidance on U.S. sanctions requirements to the financial community, its regulators, importers and exporters, and other government agencies. She conducted workshops and seminars on economic sanctions for the financial and exporting communities across the United States and internationally, participated in several multi-lateral meetings with foreign governments in an effort to coordinate sanctions efforts and was actively involved in the Financial Action Task Force, serving as OFAC’s primary coordinator for issues addressed by that body. 

Prior to joining OFAC, she was a Revenue Agent with the Internal Revenue Service, auditing primarily corporate tax returns. During her tenure at IRS, she was active in the Revenue Agent training program and ran workshops on small business taxation for the Small Business Administration.

Upon her retirement from the Treasury Department she was presented with the Secretary’s Honor Award in recognition of her long record of service to the Treasury Department.  Ms. Lawlor is a CPA and is CAMS certified.

Luigi LicariLuigi Licari, CAMS
Head of AML Operations
Global Anti-Money Laundering Compliance
TD Bank Group

Luigi is an AML industry leader with20 years experience in various compliance roles.  He is currently Head of AML Operations for TD Bank Group.  In that role, he is responsible for creating a unified transaction monitoring program for the Canadian and US operations. Additionally, he is responsible for executing the enterprise-wide AML risk assessment and testing function. Prior to joining TD, Luigi worked for ABN AMRO Bank where he implemented a global transaction monitoring program for retail, wholesale, investment and private banking operations across 53 countries.  Following the take-over of ABN AMRO by a consortium of banks, Luigi oversaw the orderly separation of transaction monitoring activities to each of the acquiring banks.

Luigi LicariTara E. Loftus
Executive Director
Global Head, AML Training
Americas Head, Anti-Corruption
UBS

Tara Loftus is an Executive Director at UBS and is the Global Head of AML Training, the Americas Head of Anti-Bribery & Corruption, and serves on the Global AML Management Committee.  Prior to her current roles, Ms. Loftus was the Deputy Head/COO for Americas AML Compliance (AMLC).  The Americas AMLC function covers both the wealth management and investment banking businesses throughout North America including Argentina, Brazil, Canada, Mexico and the U.S.  AMLC oversees the firm's efforts to implement UBS's Global AML Program in order to combat money laundering and terrorist financing and is also responsible for bribery and corruption, and economic sanctions issues. Ms. Loftus began her 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.

Dennis M. LormelDennis M. Lormel
Founder and President
DML Associates

Dennis is the founder and President of DML Associates, LLC, a full service investigative consultancy. Mr. Lormel provides consulting services and training related to terrorist financing, money laundering, fraud, financial crimes and due diligence. For 28 years, he served as a special agent in the FBI and served as chief of the FBI Financial Crimes Program. There, he formulated, established and directed the FBI’s terrorist financing initiative following the terrorist attacks of September 11, 2001. For his visionary contributions, Mr. Lormel received numerous commendations and awards to include the Department of Justice, Criminal Division’s Award for Investigative Initiative and the Central Intelligence Agency’s George H. W. Bush Award for Excellence in Counterterrorism.

Marshall MartinMarshall Martin
Enterprise Risk Executive and Co-General Counsel
City National Bank of Florida

Katie McBrayerKatie E. McBrayer, CRCM
Internal Audit Team Lead; Regulatory Compliance Group
BBVA Compass Bank

Yesenia A. MendezYesenia A. Mendez, CAMS, CRCM
Manager
Financial Intelligence Unit, Americas
MoneyGram International

Yesenia Armijo Mendez attended Southern Methodist University and went on to attend American University in Washington D.C. Through her banking sector background, Yesenia went on to work at the U.S. Department of the Treasury in the Office of Terrorism and Financial Intelligence, where she worked on various policy projects.  Her experience at the Treasury Department led to a Regulatory Policy Specialist position with the Financial Crimes Enforcement Network (FinCEN).  There she specialized in interpreting and analyzing the Bank Secrecy Act (BSA).  She worked as the Assistant Vice President for BSA Compliance at BBVA Bancomer Houston Agency; she was responsible for the institution’s BSA Compliance Program. She is currently employed by MoneyGram International; she manages the Americas Financial Intelligence Unit. Yesenia is the Chair for the Gulf Coast AML Forum, a local professional conference focused on compliance education and fostering partnership amongst the private and public sector.

Tanya MontoyaTanya Montoya
Product Development Manager
ACAMS

Holding over 15 years in global marketing management and strategic brand development for a wide range of corporations, industries, and governmental organizations, Tanya Montoya has successfully deployed numerous brand initiatives, both in traditional and online environments. 

In her role as Product Development Manager for ACAMS, Tanya is responsible for the development and launch of the association’s first Risk Assessment software designed to offer financial institutions worldwide, a standardized means of measuring, understanding and explaining their AML risks.

Tanya holds a Master of Science Degree in International Affairs from Florida State University, and a Bachelor of Arts in International Relations from Florida International University.

Catherine LaFalceCatherine LaFalce
Director, Barclays Corporate and Investment Bank, Financial Crime Compliance – Americas Region, Head and Global AML Policy Advisory Head
Barclays

Cathy joined Barclays in September 2009, and in her current roles, is responsible for oversight of the Corporate and Investment Bank Financial Crime Compliance program in the Americas and for development and implementation of AML policies for the Corporate and Investment Bank globally.   Prior to joining Barclays, Cathy held various compliance, audit and risk management roles over a 16 year career with Citibank’s Global Transaction Services (GTS) businesses, including as Head of AML Compliance 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 B.S. in Finance and Economics from Fordham University.

Peter NeilsonPeter Neilson, CAMS
Managing Vice President, Director of Anti-Money Laundering Compliance -
Capital One Bank

Peter Neilson joined Capital One in 2006 and serves as Vice President over Anti-Money Laundering Compliance. In this role, he is responsible for the implementation of corporate strategies for the currency transaction reporting, enhanced due diligence, customer identification, and suspicious activity reporting functions. Neilson was appointed Anti-Money Laundering Officer for Capital One in December 2010.

Michelle L. NeufeldMichelle L. Neufeld
Managing Director and Chief Financial Crimes Compliance Executive North America, Global Financial Crimes, Corruption and Economic Sanctions
Bank of America

Michelle L. Neufeld is a Managing Director and Chief of Financial Crimes and Corruption North America at Bank of America. She is responsible for leading a team of compliance officers that provide oversight, direction, advice and counsel to all of the business units and control functions in North America on matters dealing with financial crimes including AML, Fraud and Corruption.  Ms. Neufeld, as the BSA officer, participates in a number of senior management activities and governance routines within the Enterprise to enhance the risk management function. In addition, with over fifteen years of experience, Ms. Neufeld actively participates in government, regulatory, law enforcement and industry trade associations and forums; she is currently a co-Chairperson of the International Council of Securities Associations’ AML committee, participates in FATF’s public sector/ private sector consultative initiative, a member of BSAAG, a past co-chair of SIFMA’s Financial Crimes committee and participates actively in several other trade associations in this space. Prior to joining BAC, Ms. Neufeld served as the AML Officer for the Global Investment Bank at JPMorgan Chase.  She also worked at The Reserve Funds as General Counsel and Compliance Officer and as a staff attorney at NASD’s Department of Arbitration and Mediation. Ms. Neufeld holds a J.D. from New York Law School and a B.A. from the University of Miami.

Jack OskvarekJack Oskvarek, CAMS
Vice President, BSA Manager
Banco Popular North America

Jack Oskvarek is Vice President, BSA/AML/OFAC Manager and Board of Director approved BSA Officer for Banco Popular North America (BPNA).  Prior to joining BPNA in March 2010, Jack served in similar roles at Park National Bank and AMCORE Bank.  In July 2007 he was brought in to AMCORE Bank to navigate through an OCC formal agreement and consent order and build a comprehensive BSA/AML/OFAC program and team. Functioning in this integral role, all adverse OCC regulatory actions were lifted in April 2008. Jack was also responsible for overseeing Deposit Operations.  Jack has more than 25 years of banking experience.

Prior to joining AMCORE in July 2007, he was First Vice President, BSA Officer & Deposit Operations Manager at MidAmerica Bank, where he was responsible for bank-wide AML/BSA/OFAC functions (completing a full AML/FIU build-out of personnel and systems), deposit operations, servicing departments, wire operations, internal help desk, and contact center.  Prior to MidAmerica Bank, Jack served as Vice President, BSA Officer & Manager of Retail Banking Operations at TCF Bank (Standard Federal Bank), which included AML/BSA/OFAC functions, loss prevention/fraud operations, compliance, branch mgmt, and was Plan Trustee for a $10 million employee pension portfolio.  

John F. PapandreaJohn F. Papandrea
Vice President, U.S. Sanctions and Anti-Corruption Programs
Fidelity Investments

John Papandrea is Vice President, 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 Carmody & Torrance LLP in Connecticut and 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.   

 

Gary E. PetersonGary E. Peterson
Senior Executive Vice President, Chief Compliance Officer
HSBC North America Holdings

Gary is the Senior Executive Vice President and Chief Compliance Officer for HSBC’s US holdings. From 2010-2012, he served as Senior Vice President, Anti-money laundering Director and BSA Officer for HSBC’s US and Canadian holdings. From 1993-2010, he was President of IMAG Consulting Services, which provided advice and guidance to US banks and US based branches and subsidiaries of global financial institutions regarding a variety of AML, compliance, risk, operational and enforcement issues.  From 1980-1993 he was Senior Vice President, Chief of Staff, and General Counsel of Midland Bank plc in the United States.  Prior to that, he was in private law practice in New York City.  He is a frequent speaker and panel member on a wide variety of banking and securities topics.  He has spoken at past Annual ACAMS conferences on: “Improving AML Training Programs” and “Developing an AML Enterprise-Wide Risk Methodology”.

He is a graduate of Lehigh University and the School of Law of Case Western Reserve University.  He is admitted to the New York State and Federal Bars. 

Photo not availablePeter L. Platt
Senior Investigator | AML/BSA Consultant
US Department of Justice – Organized Crime Drug Enforcement Task Force (OCDETF)

Anna M. RentschlerAnna M. Rentschler, CRCM, AMLP, CAMS
Vice President and BSA Officer
Central Bancompany

Anna is Vice President and BSA Officer for Central Bancompany, Jefferson City Missouri, a $10 billion holding company in Missouri, Oklahoma, Kansas and Illinois with which she has been affiliated for 30 years. The Financial Investigations Unit, which encompasses the BSA/AML and Regulation E dispute divisions, encompass enterprise-wide consolidation of these functions for 13 affiliate banks. The enterprise wide Reg E process was added to this area due to the ties to fraudulent activity and required timelines.

Prior to developing the BSA/ AML &Reg E programs, Anna established the Compliance Division of Central Bancompany in 1989. Anna’s responsibilities with Central Bancompany have included Bank Secrecy/Anti-Money Laundering, Reg E dispute consolidation and compliance, management of the mortgage loan portfolio at one of the affiliate banks, as well as commercial and consumer lending.  Prior to joining Central Bancompany, Mrs. Rentschler spent 7 years as a National Bank Examiner with the Officer of the Comptroller of the Currency.

Anna M. RentschlerChristine Ring, CAMS
Director AML/ATF Assessment Program I AML and Compliance Division
Office of the Superintendent of Financial Institutions Canada (OSFI)

Christine Ring is Director, Anti-Money Laundering and Compliance Division (AMLC), Office of the Superintendent of Financial Institutions Canada (OSFI), in OSFI's Toronto office. She joined OSFI in 1998 and was part of the Insurance Supervision Division prior to joining the Anti-Money Laundering and Compliance Division (AMLC) Division in 2005.

Christine is responsible for developing and directing the AML/ATF assessment program at OSFI, which involves assessing the AML/ATF programs at many of Canada’s largest financial institutions, including the large banks and life insurance companies, for both AML/ATF legislative compliance and prudential risk management. The program also covers Canadian institutions offshore as well as new banking and insurance entrants to the Canadian market.

Christine works closely with stakeholders and other partners in the Canadian AML regime, such as the Department of Finance, where her relationship includes providing input into domestic AML/ATF policy; FINTRAC; and law enforcement as well as other key international agencies on matters relating to money laundering, terrorist financing, and sanctions. Christine participates as a member of the Canadian delegation to the Financial Action Task Force (FATF) and conducts extensive industry outreach, including guest speaking engagements both domestically and internationally, at events such as those hosted by the ACAMS Toronto Chapter and the annual Wolfsberg Forum in Switzerland.

Anthony RodriguezAnthony Rodriguez, CAMS, CPA
Global Compliance Officer
AFEX Associated Foreign Exchange

Anthony is a Certified Public Accountant and currently the global compliance officer for Associated Foreign Exchange Inc. (“AFEX’). Prior to joining AFEX, Anthony’s extensive experience spans over 10 years in the MSB industry. He has held positions with RIA Financial Services one of the world’s largest money transmitters, JPMorgan Chase as vice president in the Commercial Compliance Department and Envios R.D./Pronto Envios a niche market money transmitter as their chief compliance officer. Anthony is currently a member of the ACAMS Advisory Board.

Ellen RullmanEllen Rullman, CRCM, CAMS, CIA
AML Compliance - Director
Capital One

Before joining the department as the Anti-Money Laundering (AML) Independent Compliance Transaction Testing (ICTT) team lead, Ellen was a Senior Manager in Corporate Audit Services responsible for leading AML Compliance audits and other compliance audits. Ellen is responsible for designing and executing compliance tests for all Capital One businesses to ensure the second line of defense is appropriately validating control performance.  Her previous audit experience has contributed to the early success of the testing team. She has demonstrated independent thinking, effective communications, and the ability to build relationships throughout the organization. Ellen is CRCM and CAMS certified as well as a Certified Internal Auditor (CIA).

John SabatiniJohn Sabatini
Partner
PwC

John focuses on the continued development of Internal Audit’s business model and works closely with the global Audit directors to advance and integrate technology audit strategy. He is a member of the Internal Audit Global Operating Committee. 

John joined Goldman Sachs in 2010 as a managing director in the Legal and Internal Audit in New York.  Prior to joining the firm, John was a partner/principal at Ernst & Young where he led the Compliance Technology Enablement Group for the New York Financial Services Office. In this role, John was responsible for developing service offerings and managing client engagements in the areas of Anti-Money Laundering (AML), trade compliance, trade surveillance, regulatory reporting, tax compliance and electronic messaging surveillance. John also worked as the engagement partner for several large regulatory projects where his team identified surveillance gaps and designed/ implemented systems to remediate these issues – resulting in the lifting of enforcement actions by the regulators. 

Nancy J. SaurNancy J. Saur, CAMS, FICA
Compliance Manager 
Millennium bcp Bank & Trust 

Nancy is the Compliance Manager at Millennium bcp Bank & Trust in the Cayman Islands. Previously she was responsible for compliance and risk management for the Caribbean & Asian offices of the ATC Group. In 2004, she co-founded a successful compliance consulting company headquartered in the Cayman Islands. She also founded the Cayman Islands Compliance Association, managed the development of computer-based training for its members and created a Cayman Islands module for an international compliance training program.

Cathy Scharf, CAMSCathy Scharf, CAMS
Vice President
Operations Officer
Bank of George

Cathy Scharf, CAMS is currently vice president and Bank Secrecy Act officer overseeing AML/BSA/OFAC functions, compliance, branch management operations, loss prevention/ security operations and risk management for Bank of George in Las Vegas.

With over 25 years of experience within financial services she started her banking career at the Federal Reserve Bank. She has over 15 years experience with community banking and has been involved with developing BSA/AML programs.  Cathy has provided expert guidance leading complex, high profile projects providing advisory services for Third Party Payment Processing due diligence and identifying illegal processing of internet gambling. 

 In the past, she was a consultant for both Financial Institutions as well as Money Service Businesses focusing on the Southwest Border. In particular, engagements involve Anti-Money Laundering compliance, fraud and corruption investigation, transactional monitoring and compliance training. Cathy is the Co-Programming Director of the ACAMS Nevada Chapter established April 2013 and has been a Certified Anti-Money Laundering Specialist (CAMS) since 2008.

Markus E. SchulzMarkus E. Schulz
Chief Compliance Officer EMEA
GE Capital

Markus is the chief compliance officer for Global Life and Banking and global head of financial crime for Zurich Insurance. Markus joined Zurich in January 2008 after 13 years at ABN AMRO Bank, where he held various senior global compliance positions, including global head of the Compliance Service Center and COO of AML Compliance. Prior to his time in compliance, Markus served for almost a decade in a variety of senior in-country, regional and global management positions in Germany, UK and the Netherlands.

Margaret SilversMargaret Silvers, CAMS
Compliance Consultant
Wells Fargo Bank

Kenneth Simmons, CRCM, CAMSKenneth Simmons, CRCM, CAMS
Bank Examiner (Compliance Specialist)
Office of the Comptroller of the Currency (OCC)

Kenneth is a Southern District Compliance Specialist (Examiner) with the Officer of the Comptroller Currency.  He serves as a member of the OCC’ Compliance Working Group and is the Functional Examiner-in-Charge of a mid-size financial institution.  He is located in Atlanta, Georgia.  Prior to the OCC, he served in a similar capacity with the FDIC. Kenneth managed Compliance and BSA responsibilities in the financial industry for over 24 years.  He has managed Compliance/BSA for small community banks as well as multi-billion dollar financial institutions.  He has general audit and audit management experience.  Most recently, he served as a panelist at an Alabama Banker’s Association BSA conference.  He has also participated in other industry conferences sponsored by the OCC, FNMA, and FHLMC.

Richard A. SmallRichard A. Small, CAMS
Senior Vice President, Enterprise Wide Anti-Money Laundering, Anti-Corruption and Sanctions Risk Management  
American Express

Rick is responsible for establishing and maintaining enterprise-wide anti-money laundering and sanctions policies and procedures. Prior to joining American Express, he was the Global Anti-Money Laundering Leader for GE Money, a division of General Electric. In this role, Rick had responsibility for anti-money laundering controls, processes and procedures for all GE Money businesses globally. Additionally, he is co-chair of the ACAMS Advisory Board.

R. Joe SoniatR. Joe Soniat, CAMS
Bank Secrecy Act Officer
Union First Market Bankshares Corporation

Robert J. Soniat (Joe) is the BSA Officer for Union First Market Bankshares Corporation, located in Richmond, Virginia.  Joe has worked as a Finance Officer for the United States Government from 2002 – 2004. He has also work as a fraud examiner for Circuit City Stores from 2004 – 2005.  He also holds a Bachelors of Science in Accounting from Virginia Commonwealth University as well as minors in Criminal Justice and International Relations. Since his time at VCU Joe has been looking for ways to help fight financial crimes and money laundering, it was not until Joe came to Union First Market Bankshares he found that he could be on the front lines in BSA.

Joe is the Officer of the BSA AML programs for Union First Market Bankshares Corporation, one of the largest community banking organizations based in Virginia.  In October of 2008, Joe became a Certified Anti Money Laundering Specialist (CAMS). Joe is also on the BSA Coalition Advisory Board Member, which consists of bankers and regulatory representatives from various federal and state banking agencies from the fifth district of the Federal Reserve. Joe was the 2008 UBSH Integrity and Trust award winner for Union First Market Bankshares Corporation. 

Daniel D. SotoDaniel D. Soto, CAMS
Chief Compliance Officer
Ally Financial Services

Dan is responsible for Ally’s enterprise-wide compliance activities. Before joining Ally, Dan spent two years with Wachovia/Wells Fargo in anti-money laundering and retail banking compliance, three years as the chief compliance officer for Royal Bank of Canada–Centura, and spent eight years with Bank of America in the global anti-money laundering compliance function.

Prior to joining the private industry, Dan was in the public sector as a commissioned bank examiner where he spent six years with the FDIC and nearly 10 years with the Federal Reserve Board.

David StewartDavid Stewart, CAMS
Director
SAS Financial Crimes Global Practice

David Stewart is responsible for the development of strategy, guiding product management and supporting the marketing of SAS’ fraud and financial crimes solutions for the banking industry. Stewart is responsible for coordinating best practices among SAS’ global subject matter experts in combating financial crimes. He works closely with many of the world’s most innovative financial services institutions, regulatory agencies, SAS research and development, implementation teams, and alliance partners to deliver superior solutions for fraud detection and complying with anti-money laundering regulations.

Previously, Stewart served as a SAS Business Manager at one of the world’s largest financial institutions. He has worked exclusively with financial services companies over the last 20 years on various consumer risk, marketing and compliance initiatives.

Stewart is a Certified Anti-Money Laundering Specialist, serves on the North Carolina ACAMS board, and holds a bachelor’s degree in economics from North Carolina State University.

Daniel P. StipanoDaniel P. Stipano
Deputy Chief Counsel
Office of the Comptroller of the Currency (OCC)

Daniel P. Stipano is the deputy chief counsel for the Office of the Comptroller of the Currency.  He served as Acting Chief Counsel from October 2004 to August 2005, and from October through December 2012.

As deputy chief counsel, Mr. Stipano supervises the OCC’s Enforcement and Compliance, Litigation, Community and Consumer Law, and Administrative and Internal Law Divisions.  He also supervises the OCC district counsel staffs in the OCC’s Southern and Western Districts. 

From 1995 to 2000, Mr. Stipano served as the director of the OCC’s Enforcement and Compliance Division.  In this position, he headed the division that was responsible for taking administrative enforcement actions against national banks and their institution-affiliated parties.  From 1989 to 1995, Mr. Stipano was an assistant director in the Enforcement and Compliance Division, after joining the OCC in 1985 as a staff attorney in the division.

In 1985, Mr. Stipano was a staff attorney at the Federal Energy Regulatory Commission and, from 1983 to 1985, he was an associate with the law firm of Jackson and Jessup, P.C., in Arlington, Virginia. 

A member of the Virginia State Bar and the American Bar Association, Mr. Stipano also represents the OCC on the Treasury Department’s Bank Secrecy Act Advisory Group and the National Interagency Bank Fraud Working Group.

Mr. Stipano received his JD degree from the Marshall-Wythe School of Law, College of William and Mary in 1983.  He also received a BA degree, summa cum laude, from Union College, in 1980, where he earned Departmental Honors in Political Science and was elected Phi Beta Kappa.   

Craig StoneCraig Stone
Managing Director
Alvarez and Marshal

Craig D. Stone is a Managing Director with Alvarez & Marsal Financial Industry Advisory Services in Houston. He brings a unique and varied background with substantial and proven financial service experience, focusing on risk identification and controls. With more than 28 years in regulatory bank supervision, Mr. Stone has been directly involved in troubled bank oversight, compliance risk management and fiduciary activities risks assessment. He possesses a broad set of skills with experience in a wide-variety of banking activities, including enterprise-wide risk management, corporate governance, Bank Secrecy Act /anti-Money Laundering Activities and compliance risk management.

Prior to joining A&M, Mr. Stone was a National Bank Examiner and  the Deputy Ombudsman for the Comptroller of the Currency (OCC) charged with the day-to-day management of the Customer Assistance Group (CAG). In this role, he was responsible for leading a staff of more than 70 professionals including National Bank Examiners, consumer compliance specialists and information technology experts. He was a key contributor in the creation of early warning tools and measures to identify emerging industry and / or institution specific risks, through the leveraging of customer complaints received by CAG. In addition, he led or provided support in the analysis and processing of complex regulatory disputes and appeals received by the Ombudsman from national banks. Furthermore, he pioneered the concept and branding of a consumer-based internet site which automated select business support functions and expanded customer self-service.

Previously, Mr. Stone served as a National Bank Examiner with a focus on retail banking and compliance risk management. In this role, he was a directly involved in reviews and examinations of many of the largest banking organizations in the country. He has also provided expert witness testimony in Federal Court on allegations involving fraudulent lending and improper insider transactions. Mr. Stone began his regulatory career in the analysis and examination of bank fiduciary activities and asset management, earning a National Trust Examiner commission.

Mr. Stone earned a bachelor’s degree in banking and finance from Texas State University. He later attended the U.S. Treasury Executive Leadership Program in Charlottesville, Virginia. Mr. Stone is a founding member of the International Network of Financial Service Ombudsman. In addition, he is a frequent speaker at industry conferences on Financial Institution Risks, Consumer Compliance, Bank Secrecy Act/AML and Customer Service. 

Kevin SullivanKevin Sullivan, MS, MMBA, CAMS
President
The AML Training Academy

Kevin Sullivan retired as an Investigator from the NY State Police after 22 years in law enforcement. Kevin was the state money laundering investigations coordinator assigned to the NY HIFCA El Dorado Task Force in Manhattan.  The HIFCA El Dorado Task Force is a multi agency task force that comprises members from ICE, FBI, Secret Service, US Attorney, NYPD, Manhattan DA and NY State Police The unit specialized in organized crime, narco dollars and terrorist financing. Kevin’s police experience ranges from narcotics to major crimes to money laundering and related financial crimes. Kevin was responsible for case reverse engineering, SAR analysis and review and special projects consisting of developing intelligence on the latest money laundering trends and patterns.

Kevin was one of the lead instructors for Operation Cornerstone, which assisted financial institutions with their AML and BSA compliance programs.  His unique, conversational and often hilarious style of training makes his seminars anything but boring. Kevin possesses a Masters in Economic Crime Management, a MMBA and is Sig Sigma compliant.  Kevin is a Certified Anti Money Laundering Specialist, the Chairman of Association of Certified Anti Money Laundering Specialists Education Task Force and a Certified Anti Money Laundering Professional. 

Daniel TannebaumDaniel Tannebaum
Senior Associate – Commercial Financial Crimes Leader
Booz Allen Hamilton

Daniel Tannebaum is Senior Associate and Commercial Financial Crimes Leader at Booz Allen Hamilton. Daniel leads a team of experienced former government regulators and commercial compliance officers. His practice specializes in providing strategy, advisory and assessment support to global financial institutions and multinational corporations. Prior to joining Booz Allen Hamilton he served as the Head of Compliance for the Americas at Travelex. In this capacity he also served as Chief Compliance Officer of the U.S. corporate entity, Travelex Currency Services, Inc. Dan directed a staff of over 30 Compliance professionals in the U.S., Canada and Brazil. He was responsible for all Compliance-related activities in over 350 Retail locations in the Americas and 1,000 Partners selling Travelex products and services.

Before joining Travelex, Dan was the OFAC Compliance Coordinator for the Federal Reserve Bank of New York, where he advised the Bank on OFAC issues. Dan also served as Senior Consultant at Protiviti Inc., serving in the Regulatory Risk Practice as the firm’s OFAC subject matter expert. Dan has conducted BSA/AML/OFAC compliance audits for major domestic and international financial institutions and developed OFAC policies, procedures and risk assessments for various clients. He has advised clients on the selection and implementation of transaction monitoring systems and developed and delivered targeted OFAC and AML training.

Dan began his career in Compliance when he served as a Compliance Officer with the Office of Foreign Assets Control (OFAC), US Department of the Treasury. He has spoken to various governmental and industry specific groups on OFAC Compliance and was appointed in 2006 to the Indian Gaming Working Group, an interagency task force comprised of various federal law enforcement agencies providing advisement to the tribal gaming community. Dan received the FBI Director’s Certificate for Exceptional Service in the Public Interest in May 2007. He was an instructor at the Department of Homeland Security’s Federal Law Enforcement Training Center course on International Banking and Money Laundering, and has trained Federal Reserve national supervisory examiners and FDIC examiners on OFAC regulations and policies.

Max R. TappeinerMax R. Tappeiner, CAMS
Program Director, Enterprise-Wide AML Risk Assessment
TD Bank Group

Max brings over 10 years experience in domestic and international institutions, specializing in AML compliance in a global context.  As Program Director of Risk Assessment, he is responsible for strategic direction of the enterprise-wide annual risk assessment at TD Bank.  Prior to joining TD, he led subject-matter expert groups at RBS and ABN AMRO in developing workable transaction monitoring standards for businesses in 53 countries.  He also worked with business lines to identify products and AML risks in order to appropriately monitor them.  In addition to transaction monitoring work, Max advised ABN AMRO on complex cross-border AML issues.  He also managed the bank’s financial intelligence unit in New York, conducting in-depth investigations of correspondent banking activities.

No photo availableChuck Taylor, CAMS
Senior Vice President and BSA Officer
City National Bank

Charles "Chuck" Taylor is currently Senior Vice President and BSA Officer for City National Bank. A 20+ billion dollar bank headquartered in Los Angeles with offices in California, Nevada, New York, Georgia and Tennessee. He has oversight responsibility for all aspects of the BSA function including maintenance of the Bank’s BSA program, BSA Risk Assessment, AML Monitoring, Currency and Suspicious Activity Reporting, Customer Identification Program, and BSA Training.

Chuck completed his Juris Doctorate in 2001, received certification as an Anti-Money Laundering Specialist (CAMS) in 2003 with the inaugural class and became a Certified BSA Officer in 2007. In 2010 Chuck completed the Masters level Bank Management & Finance program through Pacific Coast Banking School. Chuck is a founding member and current Co-Chair of the Southern California chapter of ACAMS.

Photo not availableJeanne H. Thurman, CPA, CAMS
Director, AML Compliance Executive
Global Financial Crimes Compliance (GFCC)
Bank of America

Jeanne H. Thurman is a Director and the Global Financial Crimes Compliance Executive for Enterprise Control Functions and Global Technology & Operations for Bank of America.  Her responsibilities include leading a team of compliance officers that consults with these businesses on financial crime risk issues, overseeing the implementation of the Global Financial Crimes Policies and Standards in these businesses and managing the completion of Anti-Money Laundering (AML) Risk and Control Assessments execution for her areas of responsibility.  These areas include: Wire Transfer Operations, Large Currency Reporting, Vendor Management, Human Resources, and Cash Vault Operations. Ms.Thurman participates in numerous senior management meetings and interactions with various regulators.

Ms.Thurman joined Bank of America in 1987, starting her career in Internal Audit. She then spent several years managing domestic and international payments operations and leading operations projects and site/system consolidations. For the last 17 years she has worked within Global Compliance  managing key financial crimes functions, including overseeing the development and delivery of enterprise AML training; establishing and executing AML and Economic Sanctions risk assessment processes globally; leading the Economic Sanctions Program; and overseeing the operational risk management and metrics, governance routines, and audit and exam management functions. Ms.Thurman participates in government, regulatory, and industry trade associations and forums; she has presented at numerous financial crimes conferences.

Ms.Thurman is a CPA, CAMS certified, and Six Sigma Greenbelt certified. Ms. Thurman earned a bachelor’s degree in accounting and management from Appalachian State University.

William VoorheesWilliam Voorhees, MFA, CAMS, C.F.E.
Senior Director - Financial Intelligence Unit (FIU) & Global Deposit Operations (GDO)
SVB Financial Group

Will Voorhees is the Director of the Financial Intelligence Unit at SVB Financial Group, a Silicon Valley- based, international financial institution that serves technology, life science, and venture capital markets. SVB operates globally with offices in the US, UK, Cayman Islands, India, Israel and China. In this role, Will worked to combine fraud and AML into one distinct group, increasing efficiency through sharing a single case management system and aligning synergies within the group. Over the past two years, Will directed the design of an anti-efraud program to successfully thwart cyber attacks against SVB’s commercial clients. Due to the uniqueness of SVB’s client base in high tech, Will has had the opportunity to be involved with emerging technologies in virtual platforms, electronic currencies, and nontraditional payment methods. Will is a Gulf War veteran, prior municipal police officer and holds a Masters degree in Forensic Accounting. He is a Certified Fraud Examiner and Certified Anti-Money Laundering Specialist and is the founding co-chair of the ACAMS Northern California Chapter and also serves on the speaker faculty for ACAMS conferences and learning events

Daniel WagerDaniel Wager, CAMS
Senior Vice President and Head of Global Enhanced Due Diligence
TD Bank



Prior to joining TD Bank in September 2011, Daniel served as a Supervisory Special Agent with the Department of Homeland Security, Office of Homeland Security Investigations (HSI). From 2008 to 2011 he served as the director of the New York High Intensity Financial Crime Area (HIFCA), a multi-agency financial intelligence unit that was identified in the 2006 FATF United States Mutual Evaluation as "a model for the rest of the country. During his service with HSI, the U.S. Customs Service, and the U.S. Department of Labor's Office of Labor Racketeering and Fraud Investigations, Daniel conducted investigations into traditional organized crime, fraud, narcotics, insider trading, arms trafficking, national security and terrorism. He is the recipient of commendations from the Director of the Federal Bureau of Investigation and the Central Intelligence Agency for his work in national security investigations. Daniel is a veteran of U.S. Army Special Operations and Military Intelligence, with combat service in Panama and Iraq.

#John Wagner, CAMS, NBE
Director, BSA & AML Compliance
Office of the Comptroller of the Currency (OCC)

John was named director for Bank Secrecy Act and Anti-Money Laundering Compliance in the Compliance Policy Division of the Office of the Comptroller of the Currency (OCC) in March 2005. John directs the development of Bank Secrecy Act and anti-money laundering examination policy and procedures. He also provides policy interpretations and guidance to field staff, represents the OCC and the U.S. Treasury on interagency task forces, and develops training programs. Prior to 2005, John served as a Bank Secrecy Act (BSA) / anti-money laundering (AML) specialist in the OCC’s Compliance Policy Division.

Richard Weber
Chief
Internal Revenue Service (IRS),  Criminal Investigation

Richard is Chief, IRS Criminal Investigation, and oversees a worldwide staff of over 4,000 employees, including approximately 2,700 special agents who investigate potential criminal violations of the Internal Revenue Code and related financial crimes, including money laundering, narcotics, and terrorist financing.

Before joining IRS CI, Mr. Weber was the Deputy Chief of the Investigation Division and Chief of the Major Economic Crimes Bureau in the Manhattan District Attorney's Office. In this position, he was responsible for managing prosecutors, investigators and analysts handling investigations into securities and commodities fraud, large-scale mortgage and insurance fraud, ponzi schemes, international money laundering, terrorist financing, sanctions evasion, asset forfeiture and tax crimes.

Mr. Weber has had a long and distinguished career, previously serving as Chief of the Asset Forfeiture and Money Laundering Section at the Department of Justice, and as an Assistant United States Attorney in the Eastern District of New York. Mr. Weber conducted numerous major money laundering investigations and prosecutions, including some of the largest forfeitures ever entered against financial institutions for sanctions violations. During his time at the DOJ, Mr. Weber worked extensively with CI and has an excellent knowledge of that office and the IRS more generally.

Mr. Weber is a two-time recipient of the Attorney General's John Marshall Award, the highest honor for Justice Department lawyers, for his work in promoting law enforcement's use of asset forfeiture. He is a highly recognized legal expert, well-versed in the execution of strategies for prosecuting criminal cases at the federal level.

Ted Weissberg, CAMS
Chief Executive Officer
ACAMS

Ted Weissberg is the CEO of ACAMS. Prior to joining ACAMS in 2009, Weissberg was President of the Information and Training unit of Fortent, Inc. and spent 15 years at Thomson Financial in various editorial, publishing and general management roles, including President of Thomson’s Venture Economics unit. In total, Weissberg has worked in the information and training field for more than 25 years. Weissberg is a graduate of Wesleyan University. He has authored two books, a biography of Arthur Ashe, and an expose of NCAA sports scandals. 

Grahame WhiteGrahame White 
Head of Europe 
ACAMS

Grahame is a very recently retired detective from New Scotland Yard and joins ACAMS as head of European Operations. His previous experiences include 12 years at the National Terrorist Financial Investigation Unit and the Metropolitan and City Police Company Fraud Department in a police career spanning 30 years. Grahame was the designated financial investigator on Operation Crevice, the fertilizer plot and still the longest trial in UK Criminal History, 7/7 The Suicide Bombings of the London Transport Network in July 2005, and Operation Overt the Airliner Plot in 2006.

Denise WhitingDenise Whiting, CAMS
Vice President, AML Compliance
U.S. Consumer and Commercial Banking
Citibank

In her current role, Denise is a member of the Enhanced Due Diligence AML Compliance team at Citibank. She is responsible for quality assurance of the Enhanced Due Diligence reviews for the North America Region. 

Before joining Citibank, Denise worked as an AML Auditor with Ally Bank; Commercial Compliance and AML Investigations with Bank of America; and Fraud Investigations with Wachovia / Wells Fargo Bank.

Prior to joining the private industry, Denise was in the public sector as a Sentencing Specialist with the North Carolina Administrative Office of the Courts.

Denise is based in the Charlotte, North Carolina area. She is listed as a co-inventor on US Patent #20110087495: Suspicious Entity Investigation & Related Monitoring in a Business Enterprise Environment. Denise was an invited speaker at the 5th Annual Terrorism Financing & Money Laundering Forum (SAS Institute) and the 2009 FBI Bank Outreach Conference Combating Terrorist Financing (NY Federal Reserve).

Peter WildPeter Wild, FCA, CAMS
Vice President and IT Audit Partner
JPMorgan

Peter joined the Internal Audit Department of the Firm in 1996 and has been responsible for the Information Technology audit support for the corporate Legal & Compliance applications since 2007. Upon moving to America from England, in 1980, he became the IT Audit Director for Republic National Bank of New York. Later he was a Senior Audit Manager at Coopers & Lybrand and then moved to the Melville Corporation as the IT Audit Director and subsequently became their Director of Information Systems Planning. He is a Fellow of the Institute of Chartered Accountants in England & Wales {FCA} and he is a Past President of the New York Chapter of the Information Systems Audit and Control Association {ISACA}. He is a member of the ACAMS Audit Faculty and the Board of the ACAMS New York Chapter.  He is also a member of the Honourable Artillery Company of London.

Suzanne WilliamsSuzanne Williams
Assistant Director, Bank Supervision & Regulation
Board of Governors of the Federal Reserve System

Suzanne is the manager of the Compliance Section of the Division of Banking Supervision and Regulation at the Board of Governors of the Federal Reserve System. In this position, she works with Reserve Bank and Board staff in designing and implementing supervisory strategies to address significant Bank Secrecy Act, anti-money laundering and Office of Foreign Assets Control issues, including related enforcement actions. Suzanne develops policy interpretations and guidance for financial institutions and examination staff, represents the Federal Reserve on several interagency task forces, and conducts frequent industry outreach on compliance matters. She subsequently served as a senior financial analyst at the FDIC and a senior Regulatory Compliance Program specialist at the Department of the Treasury's Financial Crimes Enforcement Network.

Peter WildJames Wills
Senior Business Manager – Banking Initiatives/Standards
SWIFT

James Wills is a senior business manager and the market/standards representative for the North American Market as part of the Banking Initiatives Team for SWIFT Americas.  Based in New York, Mr. Wills works closely with a variety of standards-setting bodies, trade associations and member communities on standardization issues in financial market areas including compliance, payments, cash management, and trade finance.

Mr. Wills joined SWIFT in 2006 as Head of Trade Standards Development responsible for SWIFT implementation in conjunction with UCP 600 and SWIFT TSU (Trade Services Utility) message development.  He has held the industry banking initiatives role for several years.

Prior to joining SWIFT, Mr. Wills worked as the global Anti-Money Laundering Business Line manager for Fortent, a privately held software company. Previously, he worked as a Senior Vice President with Union Bank of California where he had responsibilities in the areas of general management, compliance, trade, payments, cash management and sales.

Mr. Wills earned a B.A. degree from Beloit College in Beloit, Wisconsin, and an M.A. from the American Graduate School of International Management in Glendale, Arizona.