- 30 years of financial industry experience including AML compliance and training, securities firm operations and management
- 15 years of AML compliance advisory and education experience in the financial services industry
- Directed Securities Industry Institute at the Wharton School, University of Pennsylvania and other SIFMA training for member firms
- Faculty for Certified Compliance Regulatory Professional (CCRP) at Lubin School of Business, Pace University, ACAMS CAMS-Audit Certification, IMTC Compliance Certification Course, and ComplianceOnline
- Industry arbitrator for FINRA
- All 7 Best Practices
- Pre-Meeting Discovery Process
- One-on-One Call with Expert
- Meeting Summary Report
- Post-Meeting Engagement
Anti-Money Laundering - Broker-Dealers
Risks & Opportunities
AML regulatory risk rests with an institution's board of directors and executive management. The board and management are ultimately responsible for penalties, reputational harm and business damage that can result from failure to comply with AML requirements.
It is imperative that top leadership knows the risk exposures to their institutions, understand their role in oversight and management, and undertake to provide a culture of compliance beginning with "tone at the top."
A "culture of compliance":
- Can be marketed to customer base as a competitive differentiator.
- Can be leveraged within the corporate culture to connect all employees.
- Provides an opportunity to create "tone at the top" of the organization.