Speakers
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 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. |
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 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. |
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 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. |
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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 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 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. |
Jim is responsible for all anti-money laundering investigations, operations, programs and global sanctions as well as other compliance activities. |
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 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 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. |
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. |
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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 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 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 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 (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 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 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. |
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 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 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 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. |
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 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 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. |
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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. |
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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 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 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. |
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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 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. |
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 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. |
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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. |
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. |
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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. 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 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 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.
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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. |
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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. |
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. |
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. |
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). |
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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, 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. |
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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. |
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. |
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. |
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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. |
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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 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 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. |
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. |
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. |
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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. |
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 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 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. |
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. |
Keynote Address Day Two
Vikas Agarwal
Lisa D. Arquette,CAMS
Cynthia A. Barie,CAMS
Elizabeth Paige Baumann
Steven Beattie, CAMS 
Kieran Beer 
Lauren D. Bensinger
Nicholas Bogdan, CAMS
Brent S. Bramwell, CAMS, CIA, CFSA, CRMA
John J. Byrne, Esq., CAMS
James Candelmo, CAMS
Nelson Cardona
Vasilios P. Chrisos, CAMS
Tara M. Dabek, CAMS, AMLP, AAP
Sandra L. DePoalo
Alejandra Elsea-Belousek, CAMS
Noreen M. Fierro
James Finnerty, CAMS
Donna DeMartino, CAMS
Mo-Yun Lei Fong, CAMS 
Tramond French, CAMS, CRCM, CIPP
Susan Galli, CAMS
Jennifer Gardner, CAMS
Renato (Ron) Giammarco, CAMS 
Michael Grossman, CAMS
Steve Gurdak, CAMS
Nerissa P. Hall, CAMS
Peter Hazlewood
David Hick, LLB, ACA
Jeffrey Houde, CAMS, CIA 
Michael D. Kelsey, CAMS
AJ Khan, Esq., CRCM, CAMS
Nicolas E. Khouri, CAMS
Peter Kwan, CAMS
Jeff Lavine 
Lorraine B. Lawlor, CAMS 
Luigi Licari, CAMS
Tara E. Loftus
Dennis M. Lormel
Marshall Martin
Katie E. McBrayer, CRCM
Yesenia A. Mendez, CAMS, CRCM
Tanya Montoya
Peter Neilson, CAMS
Michelle L. Neufeld
Jack Oskvarek, CAMS
John F. Papandrea
Gary E. Peterson
Peter L. Platt
Anna M. Rentschler, CRCM, AMLP, CAMS
Christine Ring, CAMS
Anthony Rodriguez, CAMS, CPA 
Ellen Rullman, CRCM, CAMS, CIA
John Sabatini
Nancy J. Saur, CAMS, FICA
Cathy Scharf, CAMS
Markus E. Schulz
Margaret Silvers, CAMS
Kenneth Simmons, CRCM, CAMS
Richard A. Small, CAMS
R. Joe Soniat, CAMS
Daniel D. Soto, CAMS
David Stewart, CAMS 
Daniel P. Stipano
Kevin Sullivan, MS, MMBA, CAMS
Daniel Tannebaum
Max R. Tappeiner, CAMS
Chuck Taylor, CAMS 
Jeanne H. Thurman, CPA, CAMS
William Voorhees, MFA, CAMS, C.F.E.
Daniel Wager, CAMS 
John Wagner, CAMS, NBE
Richard Weber
Ted Weissberg, CAMS
Grahame White 
Denise Whiting, CAMS
Peter Wild, FCA, CAMS
Suzanne Williams