The 12th Annual FIBA AML Compliance Conference will once again bring together top experts from across the financial sector to offer their perspectives on the most challenging compliance issues they face, offering a valuable opportunity to learn from others' experience and get a feel for whether you are where you should be in regards to compliance processes.
As attendees of previous FIBA AML Conference can attest, the event brings together the top experts and speakers from across the financial sector. The conference facilitates knowledge exchange on relevant issues through sessions, focused panel discussions and current case studies combined with the insightful perspectives of our prestigious lineup of experts.
Meet the 2011 FIBA AML Compliance Conference invited speakers.
Alan Ketley is a Senior Vice President for AML Compliance at JPMorgan's Treasury and Securities Services (TSS) Line of Business in New York. TSS provides cash management, prepaid card products, trade and securities services primarily to corporations, institutions, banks and sovereign entities globally. Prior to joining JPMorgan Chase in September 2007, Alan was an SVP at HSBC Bank USA, New York where he was responsible for AML Compliance for the transaction banking and commercial lending businesses. Before entering the world of AML Compliance, Alan held positions in cash management sales and correspondent banking relationship management for HSBC Bank USA, Barclays Bank, New York and Lloyds Bank in New York and London. Alan graduated from Reading University (England) with a BA (Hons) in Economics, he is also an Associate of the Chartered Institute of Bankers, London.
|Alan T. Ketley|
Managing Director, Anti Money Laundering, Treasury and Securities Services
JP Morgan Chase Bank, N.A.
Amy G. Rudnick, a partner in the Washington, D.C. office of Gibson, Dunn & Crutcher, joined the firm in 1995. Ms. Rudnick co-chairs the firm's Financial Institutions Group and is a member of the White Collar Defense and Investigations Practice Group, specializing in criminal, civil, and regulatory enforcement proceedings involving anti-money laundering laws and regulations, including the Bank Secrecy Act, as amended by the USA PATRIOT Act. Ms. Rudnick also counsels domestic and foreign banks, securities broker-dealers, investment companies, insurance companies, finance companies, money services businesses, other financial services businesses, casinos, and other multinational corporations with respect to anti-money laundering and anti-terrorist financing compliance programs, currency transaction and suspicious activity reporting requirements, Customer Identification Programs, Enhanced Due Diligence policies and procedures, and Office of Foreign Assets Control laws and regulations.
|Amy G. Rudnick|
Gibson Dunn & Crutcher LLP
|Andres Fernandez, Esq.|
Gunster Attorneys at Law
Carl Fornaris is a shareholder in Greenberg Traurig's Miami office where he co-chairs the firm's National Financial Institutions Group. Carl concentrates his practice in the representation of financial services firms in all aspects of their business. In particular, he represents U.S. and non-U.S. firms on finance and corporate matters and provides supervisory and compliance counseling for institutions regulated by the Federal Reserve, OCC, OTS, FDIC, Florida Office of Financial Regulation and other state supervisory authorities. He actively advises banks, thrifts, investment advisers, securities broker dealers, money services businesses and other financial institutions on TARP-related matters, FIRREA issues, and compliance with the USA PATRIOT Act. Carl previously served as the Head of Legal and Compliance for the Latin America region of Barclays Bank PLC, with responsibility for managing legal and compliance matters throughout the Latin America region.
Carmina Hughes is a Managing Director with Navigant's Disputes and Investigations practice. She is an attorney with over 30 years of investigation and litigation experience in the financial services industry and law enforcement. Prior to joining Navigant, Carmina served as an Executive Director with Daylight Forensic & Advisory, an international consulting firm, which recently joined Navigant. Before joining Daylight Forensic, Carmina was a principal with the forensic practice at a Big Four accounting firm where she specialized in anti-money laundering compliance and investigations. Carmina's focus has been on the financial services sector where she works with compliance, audit and legal groups to perform anti-money laundering assessments, training, risk assessments and investigations.
Navigant Consulting, Inc.
• Equity Partner in the firm of Gunster Yoakley practicing in the Miami, Florida office. Member of the Firm's Board of Directors
• Member of the Firm's Banking and Financial Services Group
• General Counsel and Member of the Executive Committee of the Florida International Bankers Association (FIBA)
• Chairman of FIBA's Annual AML Compliance Conference
• Chairman of the International Law Section of The Florida Bar (1986-87)
• Member of the Bank Secrecy Act Advisory Group of the Financial Crimes Enforcement Network (FinCEN) of the U.S. Department of the Treasury since 1998 (most recently as representative of FIBA)
• A nationally and internationally recognized specialist on BSA/AML/OFAC compliance and on the prevention, detection and reporting of money laundering and other illicit activities
• Speaker at more than 100 seminars/conferences on banking and anti-money laundering issues in the U.S., Europe, Central and South America and the Caribbean
• Recognized by USA Chambers (2004-09 Editions) as a leading lawyer in banking and financial matters
• Selected by Florida Super Lawyers (2006-09 Editions) as an outstanding lawyer in the area of Banking Law
|Clemente L. Vazquez-Bello, Esq.|
Senior Partner and FIBA AML Conference Chairman
Gunster Attorneys at Law
Cody J. Smith is Vice President of Compliance for the Americas region of Caja de Ahorros del Mediterraneo (CAM). Based in Miami, Florida, he joined CAM just 5 months after the 2006 inception of the Miami Agency and has built the compliance program from the ground up. Mr. Smith is responsible for the on-going development and implementation of effective BSA/AML/OFAC, fraud prevention and consumer compliance programs to identify and mitigate associated risks. Prior to CAM, Mr. Smith worked as the International Wealth Management Compliance Officer for SunTrust Bank. Mr. Smith has over 15 years experience in the international market and 10 years experience in Anti-Money Laundering development and training. Mr. Smith is a Certified Professional in Anti-Money Laundering (CP/AML).
|Cody J. Smith, CP/AML|
Vice President, Compliance Officer
Caja Mediterráneo (CAM)
Darío Fuentes has been vice president and general manager for Caja Mediterráneo - Miami Agency (CAM-Miami) since 2006, responsible for the United States, Latin America, and Caribbean markets. Under his leadership, CAM officially became the first Spanish savings bank to be part of the small business loans program, that is sponsored by the U.S. Government Small Business Administration (SBA) Lender Program. Today, Dario is also active in the Mexican Real Estate sector, in "Credito Inmobiliario SOFOM" (Sociedad Financieras de Objeto Múltiple Reguladas), a financial institution owned by CAM, where he sits on the board of directors. He is also on the board of directors for ENOVA Thinking, which is a network of global executives, focused on innovation and leadership, and sustainable business growth. He is also the director for CAM's Division of the Americas. Dario Fuentes has been an active member of FIBA since his arrival in Miami, and has served on their Executive Committee and Board of Directors. He was elected president in May of 2010, and will serve from July 1, 2010 to June 30, 2011.
|Dario Fuentes Alvarez|
President of FIBA
Vice President and General Manager
Caja Mediterráneo (CAM)
Darren Donovan is the National Banking and Finance Industry Leader of KPMG LLP's U.S. Forensic Advisory Services practice. He works on a wide array of issues pertaining to investigation and integrity advisory services for his clients, which include leading national and multinational financial institutions, as well as public service and not-for-profit organizations. Mr. Donovan has extensive hands-on experience in the areas of anti-money laundering, financial fraud, due diligence, FCPA, and fraud/integrity risk management. Mr. Donovan has worked for a highly diverse client base throughout the U.S. and the world. In 2004, he personally conducted in-country projects in China, Korea, Japan, Australia, and Brazil.
|Darren J. Donovan|
David has been with JPMorgan Chase for 26 years, where he has worked in various technology leadership roles within Credit Card and Retail. In 2002, he began to leverage his technology experience to venture into new areas in the Firm such as Security and Retail Fraud where he enhanced technology support for investigations and deposit fraud. David is now responsible for coordinating the Firm's AML monitoring program, including developing and implementing new strategies for identifying suspicious or high risk activity, overseeing the operation of the automated monitoring systems and measuring the effectiveness of monitoring.
Senior Vice President, Compliance Director, Corporate AML Compliance
JPMorgan Chase Bank NA
Ms. Novak began her career with the Federal Deposit Insurance Corporation as a safety and soundness examiner in the Dallas Region and is currently the Chief of the FDIC's Anti-Money Laundering Section, Washington, D.C. In this capacity, she assists in developing policy in the area of the Bank Secrecy Act, oversees the review of institutions with considerable BSA concerns as well as reviewing banks to ensure compliance with the Office of Foreign Assets Control sanctions. Ms. Novak is a certified anti-money laundering specialist as well as a certified fraud specialist. She has a Bachelor of Science degree from Nebraska Wesleyan University, Lincoln, Nebraska, with an emphasis in accounting.
|Debra L. Novak|
Chief, Anti-Money Laundering Section
Division of Supervision & Consumer Protection
Federal Deposit Insurance Corporation
Mr. Wood has been in charge of the compliance area at Treasury's Office of Foreign Assets Control for the past 24 years and has been involved with financial services industry issues for well over 30 years. He is currently one of OFAC's main points of contact on matters relating to CISADA and the IFSR. A certified Anti-Money Laundering professional, he has first hand experience with S.W.I.F.T., and actually served on what used to be the Council on International Banking's Letter of Credit Committee while on the banking side of the table. He is a frequent speaker at banking and securities conferences around the country, addressing both domestic and international audiences. During the course of his pre-Treasury career, Mr. Wood served two terms by appointment of the U.S. Secretary of Commerce on the U.S. District Export Council, was named a "Financial Services Advocate of the Year" by the U.S. Small Business Administration, and was a Director and officer of the N.C.I.V. under the auspices of the United States Information Agency.
|Dennis P. Wood|
Assistant Director, Sanctions Compliance & Evaluation
Office of Foreign Assets Control
U.S. Treasury Department
Don Semesky is currently self-employed as an independent consultant, after spending 35 years in U.S. Federal law enforcement, 30 years with the U.S. Internal Revenue Service-Criminal Investigation (IRS-CI), and the last 5 with the United States Drug Enforcement Administration (DEA) as the Chief of the Office of Financial Investigations. As the Chief of the Office of Financial Operations, Mr. Semesky was responsible for overseeing DEA's worldwide financial enforcement program. As the architect of DEA's financial enforcement program, Mr. Semesky introduced a number of domestic and international initiatives designed to attack the flow of illicit drug monies back to international sources of drug supply which, during the period 2004 through 2008, denied over $12 billion in revenue to domestic and international drug trafficking organizations. Mr. Semesky now consults with DEA on policy and strategic initiatives relating to DEA's financial enforcement program, as well as special projects and significant cases.
|Donald Charles Semesky, Jr.|
D.B.A. Financial Operations Consultants, LLC
Economista, y Master en Administración de Empresas (M.B.A.), con énfasis en Diseño de Organizaciones. Con experiencia en la actividad bancaria, en la cual he laborado por 30 años cómo Gerente de Oficina, Contralor Regional, Auditor Regional, Gerente de Auditoria y Oficial de Cumplimiento en estos últimos catorce años de labor. También he dictado cátedra de Análisis Financiero, Administración Financiera y Mercadeo, y soy. Certificado Anti-Money Laundering Professional, CP/AML, FIBA. Actualmente ocupo el cargo de Oficial de Cumplimiento - Director de Cumplimiento - del Grupo Bancolombia, el cual comprende a BANCOLOMBIA S. A., FIDUCOLOMBIA S. A., LEASING COLOMBIA S. A. y SUFINANCIAMIENTO S. A., VALORES BANCOLOMBIA S. A., TUYA S. A., Y FACTORING BANCOLOMBIA S. A., y he participado como orador en la Segunda y Tercera Conferencia Anual Latinoamericana sobre Lavado de Dinero organizada por Alert Money Laudering, asi como, en el Primero, Segundo, Tercero, Quinto, Sexto y Octavo Congreso Panamericano en Prevención y Control de Lavado de Activos organizado por la Asociación Bancaria de Colombia, Embajada Américana de Estados en Colombia y Felaban, entre otros. Igualmente, he capacitado en Prevención y Control de Lavado de Activos y de la Financiación del Terrorismo, a funcionarios de varias entidades financieras, aseguradora, bursatil, entre otras, de Colombia, Centro y Suramerica.
|Francisco de Ruiz|
Oficial de Cumplimiento
Frank is currently a Group Supervisor at ICE/HSI SAC/New York El Dorado Task Force. The focus of the group is to identify and prosecute criminal organizations that exploit or seek vulnerabilities within the US financial system. The group concentrates on narcotics related money laundering, primarily that which is centered on the Colombian Black Market Peso Exchange (BMPE). Frank is also a retired Detective from the NYPD, and presently a Sergeant working for the Queens District Attorney's Office. Frank has been assigned to El Dorado for over 20 years. He is often utilized by the Department of Justice and various State Courts as a subject matter expert and has testified in numerous Criminal and Civil trials. He is also utilized as an instructor by Government agencies, traveling to most major cities here and abroad lecturing Federal, State and local law enforcement, as well as the private sector, on the topic of the BMPE and new trends identified throughout cases. He also works with FINCEN and other intelligence agencies identifying not only trends, but also anticipating what will happen when enforcement or regulations here and abroad change.
Guillermo Benites, born and raised in Miami, is a 20 year veteran in the local and international banking industry. In 2006 he joined Caja Mediterráneo (CAM) as the operations manager of the Miami Agency, being responsible for restructuring and reengineering the international development and function of a European organization opening its doors for the first time in the U.S. Today, he is the vice president chief operating officer and assumes the responsibility of supervising and directing agency administration and establishing ties in Latin America. In 2002, Mr. Benites was the operations manager for Banco de Crédito del Perú where he implemented the necessary infrastructure to open its Miami agency and coordinate the relocation of the New York branch to Miami; he also executed the consolidation of the Miami ASB Agency into the newly established bank agency. Prior to this, Mr. Benites was operations manager for Atlantic Security Bank of Miami, where his duties included project manager for Y2K Transition Project, and was instrumental in cultivating project plans, analytics, operations workflows and strategies for the banks Business Contingency Plan.
|Guillermo A. Benites|
VP & Chief Operating Officer
Caja Mediterráneo (CAM)
Formerly, Guillermo acted as Citigroup's Anti-Money Laundering Managing Director for Mexico & Latin America. Guillermo is also the Vice President of the Anti-Money Laundering & Terrorist Financing Committee of the Latin-American Banks Federation (FELABAN) and Head of the AML Committee of the Mexican Banks Association (ABM). Previously, Guillermo held several positions in Citigroup at the Corporate Legal and Compliance Departments of Grupo Financiero Banamex. Guillermo has a J.D. degree in Law from the Universidad Iberoamericana and postgraduate studies in Criminal Law and Telecommunications Law. Before his career in the financial system, Guillermo worked in different governmental entities involved in topics related to law enforcement and also as an associate in a prestigious international law firm in Mexico.
Managing Director & Global AML and Economic Sanctions
Bank of America Merrill Lynch
Jack worked for Swiss Bank Corporation (now UBS) from 1986 to 1998. His last position at SBC was as Executive Director of Operations with global responsibility for the processing of FX, money market, derivative and precious metal transactions. He left SBC to become the program director of a new world-wide bank imitative in London known as CLS (Continuous Link Settlement). In this position, Jack was responsible for transforming CLS from a concept to a viable global settlement organization that eliminated settlement risk for FX industry by simultaneously settling both currencies in FX transactions. Today CLS settles most of the world's Foreign Exchange. For example, its daily volume for 1-Jun-10 was 1.7 million transactions for a value of $5.688 trillion. For the past 9 years Jack has worked at Sumitomo Mitsui Banking Corporation (SMBC) in New York City. He is a General Manager responsible for the Business Control Department (Bank Operations) for the Americas Division. In August of 2006, SMBC was informed by its regulators that it would be receiving a Written Agreement (WA) for deficiencies with its BSA/AML Program; in April 2010 the enforcement action was lifted.
Sumitomo Mitsui Banking Corporation
Jamal El-Hindi is the Associate Director for the Regulatory Policy and Programs Division of the Financial Crimes Enforcement Network (FinCEN). In this capacity, he oversees the regulatory, compliance and enforcement functions for the Agency. Prior to assuming this position, Mr. El-Hindi served as the Associate Director for Program Policy & Implementation at the Office of Foreign Assets Control in the U.S. Department of the Treasury from June 2005 to June 2006. In that capacity he oversaw OFAC's Compliance Outreach Division, Licensing Division and Policy Division. Previously, he was an Attorney-Advisor in the Office of Chief Counsel (Foreign Assets Control) within Treasury's Office of the General Counsel, where he served as a legal advisor on various economic sanctions programs.
Regulatory Policy and Programs Division
Financial Crimes Enforcement Network
Jeff is responsible for the development and implementation of the Firm's Global AML Program across the Pershing enterprise. Prior to joining Pershing, Mr. Horowitz was a Director and Head of AML Compliance for Citigroup's Corporate and Investment Banking Division in North America. His responsibilities included the Institutional Sales and Trading Departments of Citigroup Global Markets Inc., Investment Banking, Global Relationship Banking, and Global Transaction Services. Jeff represented the Corporate and Investment Bank on Citigroup's AML Executive Committee and Citigroup's AML Council. Prior to joining Citigroup, he was the Deputy Director of Money Laundering Prevention at Lehman Brothers Inc. Prior to that Mr. Horowitz spent 5 years at Goldman Sachs working in the Private Wealth Management and Equities Compliance areas. He has also held positions in Compliance and Audit at PaineWebber and Salomon Brothers Inc. He began his career at the Federal Deposit Insurance Corporation (FDIC) in the Division of Resolutions. Jeff currently represents Pershing, as a securities industry representative to the U.S. Treasury Department's Bank Secrecy Act Advisory Group (BSAAG) and is also the Co-Chair of the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering Committee
Managing Director and Chief AML and OFAC Officer
Jennifer Shasky Calvery was appointed as Chief, Asset Forfeiture and Money Laundering Section in July 2010. Jennifer first joined the Division through the Attorney General's Honors Program in 1997. She began her tenure with the Office of Overseas Prosecutorial Development, Assistance, and Training (OPDAT) where she worked on criminal justice reform projects for Russia, Central Asia, and Eastern Europe, before rotating through a detail as a Special Assistant United States Attorney in the Eastern District of Virginia, and then a position as a litigating attorney in the Fraud Section. From 1999 to 2007, Jennifer served as a Trial Attorney in the Organized Crime and Racketeering Section (OCRS) prosecuting cases targeting international organized crime groups, and particularly the professional money launderers who supported them.
|Jennifer Shasky Calvery|
Chief, Asset Forfeiture and Money Laundering Section
John Campbell has been involved in financial regulatory, supervisory, and accounting matters since 1973. He was admitted to the partnership of PricewaterhouseCoopers LLP (PwC) in 1994. Prior to joining PwC, Mr. Campbell spent 17 years with the Office of the Comptroller of Currency (OCC) in the U.S. Treasury Department. In 1979, at the OCC, he was commissioned as a national bank examiner by Secretary Blumenthal and was later promoted to director of multi-national banking. As a director, Mr. Campbell was responsible for the supervision of the largest U.S. banking organizations and served as the liaison between the OCC and the Federal Financial Institutions Examinations Council. In 1989, Mr. Campbell received the Hugh Mulloch Award, which is the U.S. Treasury's highest award for distinguished service. At PwC, Mr. Campbell has advised financial institutions and central banks on bank regulatory and anti-money laundering matters, including examination policy and practice, as well as compliance and remedial actions. Since 1997, Mr. Campbell has been the lead partner for PwC's foreign banking practice, and in 2004 he assumed responsibility for leading the anti-money laundering practice.
|John W. Campbell|
AML Practice Leader
Advisory Risk and Regulatory Services
John Wagner was named in March 2005 as 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). Mr. Wagner 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 March 2005, Mr. Wagner served as a Bank Secrecy Act (BSA) / anti-money laundering (AML) specialist in the OCC's Compliance Policy Division. Mr. Wagner is a certified anti-money laundering specialist (CAMS) and a commissioned national bank examiner. He began his OCC career 27 years ago in Dallas, Texas and subsequently served in San Francisco, California. A native of New York state, Mr. Wagner earned his Bachelor of Science degree in business administration (finance and international business) from Northeastern University, Boston, Massachusetts.
Director for Bank Secrecy Act and Anti-Money Laundering Compliance
Compliance Policy Division
Julia Mold leads AML and anti-bribery compliance efforts in wealth management, private banking, and trust in Latin America and the Caribbean. Prior to joining the Royal Bank of Canada, Julia was a founder of a regulatory consulting firm and a consultant with Deloitte Financial Advisory Services. She began her career at the New York Stock Exchange, Division of Member Firm Regulation. A frequent speaker at financial crime conferences. she has developed financial crime prevention webinars for the Florida International Bankers Association and has worked on numerous AML projects around the world from the Far East, the Russian Federation and the Americas. Julia is a graduate of New York University.
Regional Anti-Money Laundering Director
Royal Bank of Canada, International Wealth Management
Caribbean Banking and Latin america
Karen O'Brien is founder and Managing Partner of Global Compliance Solutions (GCS), an outsourced compliance company that is based in the Cayman Islands and services clients throughout the Caribbean. She was a police officer for sixteen years with the Toronto Police Service, Ontario, Canada, leaving with the rank of Sergeant after spending the last five years in the Fraud and Forgery Squad. She spent two years investigating financial crime in the Cayman Islands as a Detective with the Royal Cayman Islands Police before branching out to the private sector and specializing in compliance, anti-money laundering and regulatory issues. As a professional consultant, Karen dedicates her time to the financial services industry in connection with regulatory compliance, design and implementation of anti-money laundering (AML) policies and procedures, Know-Your Customer program reviews, risk analysis and risk management strategies, AML training and financial investigations stemming from allegations of fraud.
Managing Partner, Grand Cayman
Compliance Policy Division
Karen Van Ness is Senior Manager for Financial Crime and Compliance Solutions product management at Oracle Financial Services Software, part of Oracle Corp. She has over 20 years of experience in the information technology and financial services industries. She brings substantial expertise in the areas of anti-money laundering, fraud prevention, risk management and compliance, as well as the development, implementation and marketing of high-end software solutions. Ms. Van Ness has played a key role in bringing to market solutions targeted to BSA / AML Compliance and Fraud Prevention, and has supported their implementation at top-tier banking and brokerage firms in the U.S. and internationally. She has also worked as a consultant and subject matter expert for a number of financial services firms, helping them optimize their deployment of high-end financial crime and compliance monitoring solutions, as well as revise business processes in order to better leverage new technologies or respond to changing regulatory requirements. Ms. Van Ness worked in the financial services industry for 14 years, and was a Vice President at Citigroup and Chevy Chase Bank. She holds a B.A. degree from Dartmouth College and an M.S. degree from the Johns Hopkins University. She can be reached at email@example.com.
|Karen Van Ness|
Oracle Financial Services
Kevin Levy is a shareholder who joined the firm in 2003. Kevin Levy is a business, corporate and technology attorney. For over a decade, Kevin has represented global technology companies, as well as local entrepreneurial ventures. He has extensive experience providing strategic counseling and negotiating transactions for both U.S. and foreign-based clients. Kevin is frequently interviewed by the media on current business and technology law issues and trends, and he has received awards for his business and technology law practice from The Best Lawyers in America, Florida Trend, the South Florida Business Journal and Super Lawyers. Kevin is the current Chair of the Greater Miami Chamber of Commerce's Technology & Bioscience Committee. Practice Areas: - Business and Corporate Law - Technology Law - Licensing and Product Distribution - Mergers and Acquisitions - Private Equity and Venture Capital
|Kevin M. Levy, Esq.|
Business, Corporate and Technology Attorney
Gunster Attorneys at Law
Since March 2010, Les has been the International Investigations Manager in the Financial Intelligence Unit at Wells Fargo Bank. The primary mission of the International Investigations Group is to identify, investigate, report, and trend suspicious activity conducted through the bank's foreign correspondent customer accounts. Prior to joining Wells Fargo, Les worked for the U.S. Department of Justice from 1984 to February 2010. From 2002-2010, he was the Principal Deputy Chief of the Asset Forfeiture and Money Laundering Section (AFMLS). He was a Deputy Chief in the Section since October 1991. During his tenure in AFMLS, the Section played a major role in several noteworthy money laundering investigations and prosecutions, including the investigations that resulted in the guilty pleas of Riggs Bank (2005) and E-Gold Ltd. (2008), and Deferred Prosecution Agreements with Credit Suisse (2009), Lloyds TSB Bank PLC (2009), Sigue Corporation (2008), Union Bank of California (2007), American Express Bank International (2007), BankAtlantic (2006), and Banco Popular de Puerto Rico (2003), based on criminal violations involving the Bank Secrecy Act or the International Emergency Economic Powers Act.
International Investigations Manager
Financial Intelligence Unit
Wells Fargo Bank
Marco E. Rojas, Esq. is a partner with Rojas & Stanham LLP in Miami, Florida. His practice is focused primarily in assisting high net worth foreign clients structure their investments in the U.S. including real estate, corporate and international estate planning. Mr. Rojas has advised numerous international families with assets in the U.S. in structuring offshore trusts, closely held companies and advised with tax related issues regarding U.S. beneficiaries of offshore structures. Mr. Rojas has coordinated the international estate planning with local counsel in the domestic jurisdictions of his clients to achieve a global solution. Mr. Rojas graduated from University of Miami with a Bachelor in Business Administration, in 1988, and graduated from Nova Law School in 1991. Mr. Rojas is past president of the Colombian American Chamber of Commerce, and past president of the Colombian American Bar Association.
|Marco E. Rojas, Esq.|
Rojas & Stantham, LLP
Marian Ancheta Llera is an associate practicing in the areas of U.S. and international tax planning, including foreign investment in the United States, international and domestic estate planning, and taxation issues involving corporate reorganizations, partnerships, and S corporations. Ms. Ancheta Llera also has experience advising financial institutions clients in connection with U.S. federal income tax compliance, reporting, withholding and other similar matters. Ms. Ancheta Llera regularly counsels clients in connection with general corporate matters as well routinely assisting individuals and global families in connection with their international estate planning and probate matters. As a Florida Civil Law Notary, Ms. Ancheta Llera is able to better assist clients in connection with matters having an international component. PRACTICE AREAS/SPECIALTIES: • Taxation • Estate Planning & Probate • Corporate • International Transactions
|Marian Ancheta Llera|
Avila Rodriguez Hernandez Mena & Ferri LLP
Michael Diaz, Jr., is the Managing Partner of the international law firm Diaz Reus & Targ, LLP. Mr. Diaz concentrates his practice on domestic and international business, finance, trade and customs matters, including the litigation and arbitration of complex commercial disputes and regulatory investigations (AML, OFAC, FCPA, SOX, BSA etc). Mr. Diaz earned his undergraduate degree in International Finance from the University of Miami in 1983. In 1986, Mr. Diaz graduated with honors from the University of Miami School of Law. Upon graduation from law school, Mr. Diaz served as an Assistant State Attorney in the Miami-Dade County State Attorney's Office from 1986 to 1990 for former U.S. Attorney General Janet Reno. Known for representing high profile individuals, financial institutions, foreign governments and their officials, and for defending Fortune 1000 multinational corporations in sophisticated civil, regulatory, and criminal matters, Mr. Diaz counsels and implements preventative litigation strategies, conducts internal and corporate investigations, and represents his clients before all administrative and governmental agencies, arbitral bodies, courts, and investigative and charging grand juries. Mr. Diaz has tried cases before state and federal courts and has participated in several oral arguments before appellate courts throughout the United States.
|Michael Diaz, Jr.|
Diaz, Reus, & Targ LLP
Michael Rufino has been in regulation for over 22 years and is presently Chief Operating Officer in Sales Practice in Member Regulation at the Financial Industry Regulatory Authority (FINRA). Mr. Rufino has taken part in many regulatory panels and seminars for the industry on Anti-Money Laundering. He is one of FINRA's representatives on the Bank Secrecy Act Advisory Group (BSAAG) and is an active participant in the BSAAG Securities/Futures, BSAAG SAR, and BSAAG SAR Review subcommittees. Mr. Rufino played a key role in setting up the AML examination program at the NYSE. He has also participated in the Financial Action Task Force's (FATF) initiative on creating guidance on the risk based approach to the prevention of money laundering and terrorist financing as part of the working group undertaking this initiative as well as the recent FATF Typology on the Securities Industry. Mr. Rufino graduated Magna Cum Laude from Iona College with a degree in Finance. In addition, he received his MBA with honors in Management Information Systems from Iona.
Chief Operating Officer in Sales Practice in Member Regulation
Financial Industry Regulatory Authority
Mr. Zeldin is a Principal in the Washington, DC office of Deloitte Financial Advisory Services' Forensic & Dispute Services practice and serves as the Global Financial Services Industry Anti-Money Laundering practice leader. He is an internationally recognized expert in the investigation and prosecution of money laundering and asset forfeiture cases. Mr. Zeldin has prosecuted numerous violations of federal law, principally multi-defendant financial cases requiring knowledge of complicated banking transactions including money laundering, narcotics wire and mail fraud, and asset forfeiture.
|Michael F. Zeldin|
Forensic & Dispute Services
Deloitte Financial Advisory Services LLP
Rick Raven is the Deputy Chief, Criminal Investigation, headquartered in Washington, DC. Mr. Raven was named to this position in January 2010. In this role, he directs worldwide programs for investigating potential criminal violations of the Internal Revenue Code and related financial crimes in a manner that fosters confidence in the tax system and compliance with the law. The Deputy Chief reports directly to the Chief, Criminal Investigation. Along with the Chief, Criminal Investigation, Mr. Raven advises the IRS Deputy Commissioner (Services and Enforcement) and IRS Commissioner on Criminal Investigation matters. Mr. Raven also manages the day-to-day activities of the Headquarters Criminal Investigation organization. Rick began his Internal Revenue Service career in 1987 as a special agent in Reno, Nevada.
IRS Criminal Investigation
Mr. Berry joined the Authority in May 2002 as the Deputy Head of Compliance and was promoted to Head of Compliance in May 2004. Mr. Berry's primary responsibilities include managing and directing the enforcement actions taken by the Authority, overseeing the due diligence process on persons applying to be approved persons on entities regulated by the Authority, and assisting on non-routine requests for assistance from overseas regulatory authorities. Mr. Berry's duties also include acting as the Authority's Money Laundering Reporting Officer and working closely with the Financial Reporting Authority concerning any suspicion of money laundering identified in the course of the Authority performing its functions. Prior to joining the Authority Mr. Berry worked as a Private Banking Assistant Manager and Administrator at Bank Vontobel Cayman from 2000 to 2002. Mr. Berry began his career in the financial services sector in 1993 at Canadian Imperial Bank of Commerce, Grand Cayman (CIBC), where he was promoted to a number of positions within the Investment Department.
|RJ Berry, CAMS|
Head of Compliance
Cayman Islands Monetary Authority
Mr. Mazur, a former federal agent, is the author of "The Infiltrator", a memoir about his undercover life as a money launderer. He is court certified in both the U.S. and Canada as an expert in money laundering. Mr. Mazur's articles about money laundering have been published by many media outlets, including The NY Times. He has also been a major contributor to money laundering related programming aired by PBS, ABC and other broadcasters. Mr. Mazur has testified on several occasions before Congress about money laundering threats around the globe. He is now the President of Chase & Associates, an investigative and consulting agency that provides enhanced due diligence and other services throughout the U.S. and many foreign countries. For more information about his book, visit http://www.the-infiltrator.com/.
Chase & Associates, Inc.
Robert I. Targ is a named partner of Diaz Reus where he concentrates his practice in federal trial and administrative matters involving asset seizures and forfeitures, health care fraud and abuse, criminal fraud and money laundering, and criminal or civil matters involving Customs laws and regulations. Mr. Targ has represented individual and institutional clients throughout the United States and internationally. Mr. Targ's recent matters include: Representing the victim of an international fraud in connection with the victim's investment of $13.5 million in fraudulent letters of credit and promissory notes. Representing a major ship's broker in defending the company against $1.4 million in U.S. Customs Service penalties arising out of the fraudulent entry of sugar into the United States. Representing Casas de Cambios (Currency Exchange Houses) from Colombia in connection with a federal money laundering investigation alleging illegal exchange transactions involving Euros that were being exported from Colombia to the United States for subsequent shipment to Great Britain. Through Mr. Targ's efforts, the Casas de Cambios paid a small penalty, recovered more than one million Euros and avoided criminal prosecution.
|Robert I. Targ|
Diaz Reus & Targ, LLP
Samuel J. Wilkinson has been the Assistant Resident Manager and Compliance Officer for Banco Votorantim - Nassau Branch and Votorantim Bank Limited (subsidiary) in The Bahamas for the past six years. Mr. Wilkinson is responsible for the bank's branch operations which include trade finance, financing and leasing operations, asset management, global funding, corporate and investment banking, and brokerage services. He also has responsibility for the local subsidiary which oversees private banking and investment activities. His duties include oversight of regulatory mandates, corporate governance, compliance and internal controls, staff training and development, back office supervision, liaisoning with internal and external auditors and the London and New York offices, and compliance reporting to the audit committee and the branch and subsidiary boards. Prior to joining Banco Votorantim and Votorantim Bank Limited, Mr. Wilkinson was head of accounting and compliance for Experta Trust Company (Bahamas) Limited, a Swiss private bank that was domiciled in Basel, Switzerland, and compliance manager for National Bank of Canada, a Canadian private bank. Before becoming a private banker 15 years ago, he held the position of financial controller in the banking, ground and air transportation and hotel industries.
|Samuel J. Wilkinson|
Assistant Resident Manager and Compliance Officer
Votorantim Bank Limited
Mr. Nathan is currently the Deputy BSA Officer in charge of BSA/AML Strategy for the new BankUnited in Miami, Florida. As part of the bank's Enterprise Risk Management team he is currently managing a series of BSA projects including the implementation of a new transaction monitoring platform in line with the bank's core conversion. Prior to joining BankUnited, Mr. Nathan was a Senior Manager with Deloitte Financial Advisory Services LLP specializing in the field of Financial Intelligence including Anti Money Laundering (AML) and Terrorist Financing Prevention (TFP). As a consultant, he was tasked with helping clients in both the federal and commercial sectors "follow the money" to detect threats, mitigate risk, and protect national security. Prior to joining Deloitte, Mr. Nathan was an AML Risk & Compliance Manager for Bank of America's Financial Intelligence Unit tasked with oversight of the monitoring and surveillance program. Mr. Nathan holds a BA in Economics from Lafayette College and an MBA from Suffolk University.
Deputy BSA Officer
Serena Moe, a member of Citigroup's Anti-Money Laundering Legal Group, serves as the legal counsel to all Citigroup business on issues related to economic sanctions. She assumed this position in September 1997. Ms. Moe also has responsibility for advising on anti-boycott laws, and the Foreign Corrupt Practices Act. Before coming to Citigroup, Ms. Moe served as the Deputy Chief Counsel at the Office of Foreign Assets Control of the U.S. Treasury Department. Ms. Moe joined the OFAC legal staff in 1988, and served as the principal attorney for the Cuban embargo and the sanctions used to protect Kuwaiti assets. Prior to assuming her position at OFAC, Ms. Moe held other legal positions at the Department of Treasury and the National Labor Relations Board. Ms. Moe received a B.A. and an M.A. from Stanford University and her J.D. from George Washington University.
|Serena D. Moe|
Associate General Counsel
Sharon Christopher is currently the Deputy Chief Executive Officer of the First Citizens Group and has significant experience in the financial services sector having served at executive management level in that sector since 1986. Ms. Christopher's experience and training is wide-ranging covering such areas as banking and finance, corporate governance, negotiation skills, alternative dispute resolution, fraud, anti-money laundering and leadership development. Ms. Christopher has held directorships on numerous Boards including Boards of charitable organizations and currently sits on the Boards of several First Citizens subsidiaries. She has delivered several presentations at local and regional conferences and has also published articles all within her areas of expertise. Ms. Christopher is the holder of a Bachelor of Laws Degree (Upper Second Class Honours) from the University of the West Indies and the holder of a Master of Laws Degree from the London School of Economics and Political Science (University of London). She also holds a Legal Education Certificate from the Hugh Gooding Law School from which she graduated as the most outstanding student.
Deputy Chief Executive Officer
First Citizens Bank Trinidad & Tobago
Spencer Doak is the Western District Compliance Lead Expert for the Office of the Comptroller of the Currency (OCC). He joined the OCC from the industry in 1992, initially as a safety and soundness examiner, followed by 10 years as a compliance specialist. He also served as a compliance functional examiner in charge for midsize bank companies for 6 years. Spencer currently serves as the lead instructor for the OCC's internal Consumer Compliance School, and has instructed the school for the past 10 years.
|Spencer W. Doak|
National Bank Examiner
Western District Compliance Lead Expert
Stephen C. Strombelline is Managing Director, Head of Ethics and Compliance for BNP Paribas in North America. He spent the preceding four years as Director of Compliance for Barclays Capital Inc. Previously, he served as Deputy Compliance Director for BT Alex Brown and Head of the Regulatory Affairs and Compliance Review Group at Salomon Brothers Inc. He started his career at the NASD and spent much of the next 16 years as Associate Director of the New York District Office. Mr. Strombelline has an MBA in Finance from Adelphi University, is a former Chairman of the National Society of Compliance Professionals and served as a member of the NASD New York District Business Committee and its Consultative Committee. He is currently the Chairman of the Compliance Committee for the Institute of International Bankers, a vice-president for the SIFMA Compliance & Legal Division Executive Committee and a Certified Anti-Money Laundering Specialist (CAMS).
|Stephen C. Strombelline|
Head of Ethics and Compliance
Suzanne Williams 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. Ms. Williams 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. Ms. Williams began her career as a safety and soundness bank examiner in the New York Region of the Federal Deposit Insurance Corporation. 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. She received a Master of Science degree from the University of Maryland with a major in Financial Management and a Bachelor of Science degree from Kings College with a major in International Business.
Manager, Compliance Section
Division of Bank Supervision and Regulation
Board of Governors of the Federal Reserve System
Sven joined KPMG’s Forensic practice in October of 2004. Prior to joining KPMG ForensicSM, Sven worked with the NASD (National Association of Security Dealers) as a Compliance Examiner. His prior experience includes Financial and AML/U.S. Patriot Act compliance audits of broker/dealers as well as securities fraud examinations.
Sven’s industry expertise includes domestic and international banks, broker/dealers, trust companies and hedge funds, focusing on regulatory compliance, fraud issues and Anti-Money Laundering compliance. Sven participated in the development and deployment of KPMG’s proprietary Anti-Money Laundering approach and system, for both correspondent and retail banking, which focuses on the development of scenarios to identify potentially suspicious transactions as well as other indicators of money laundering or fraud.
Wayne Shah is a Senior Vice President at Wells Fargo Bank N.A focusing on Correspondent Banking in the Caribbean region. He is an experienced practitioner from the fast paced world of banking and technology. His background encompasses various functions within correspondent, corporate and retail banking and includes successful stints with Citicorp, ABN AMRO Bank, M-Frontier Inc. Bladex, and Clavex LLC. In 2006 Mr. Shah was appointed Chief Operating Officer of Clavex LLC. a wholly owned subsidiary of BLADEX - the Latin American Export Bank. In 2002 Mr. Shah co-founded M-Frontier Inc. a Miami company focused on providing technology solutions for Banks. In 1998 Mr. Shah joined ABN AMRO as the Regional Head of Capability Management for Latin America and Caribbean focusing on establishing electronic banking and back office capabilities for Cash Management, Trade and Treasury services. In 2000, Mr. Shah was appointed Head of the bank's E Commerce / B2B business development team with a focus on Procurement, Settlement and Working Capital. Before departing from ABN AMRO, he was the senior Global GTS consultant to the energy sector covering both Asia and Latin America.
Senior Vice President
Wells Fargo Bank N.A.
William J. Fox is Global Anti-Money (AML) Laundering and Economic Sanctions Executive for Bank of America, one of the largest financial institutions in the world. He is responsible for the company's Anti-Money Laundering Program and economic sanctions in efforts to fight financial crime. He most recently served as Enterprise Compliance Program Operations Executive, responsible for the company's enterprise compliance programs, AML, associate investment monitoring, capital markets registration and licensing, equity position monitoring, and the Global Control Room. After the merger with Merrill Lynch and Company, Ltd., he will again focus solely on leading the Global Anti-Money Laundering and Economic Sanctions teams for the company. Prior to joining Bank of America, Fox served as the Director of the Financial Crimes Enforcement Network (FinCEN). Before his appointment as FinCEN Director, Fox served in the Department of the Treasury from 2000 to 2003 as Associate Deputy General Counsel and Acting Deputy General Counsel. Fox received a bachelor's degree in history and a law degree from Creighton University in Omaha. In March 2005, U.S. Banker magazine named him one of the 25 most influential people in high finance.
|William J. Fox|
Managing Director and Global AML and Economic Sanctions Executive
Bank of America
In January of 2011, William Langford became the Global Head of Compliance for JPMorgan Chase & Co, leading the global compliance program for the Firm. Mr. Langford served previously as the Director of Global Anti-Money Laundering, responsible for the Firm's global anti-money laundering and economic sanctions program. Prior to joining JPMorgan Chase in 2006, Mr. Langford served as the Associate Director for the Regulatory Policy and Programs Division of the Financial Crimes Enforcement Network (FinCEN), a bureau of the U.S. Department of the Treasury. In this capacity, he oversaw the Bank Secrecy Act regulatory, compliance and enforcement functions for the Agency. Mr. Langford previously served as the Senior Advisor to the General Counsel of the U.S. Department of the Treasury, where he focused largely on the implementation of the anti-terrorism and anti-money laundering provisions of the USA PATRIOT Act, including the drafting of regulations implementing these provisions. Mr. Langford also provided advice to Treasury's Executive Office for Terrorist Financing and Financial Crimes and served as Senior Counsel for Financial Crimes in the Office of the Assistant General Counsel for Enforcement at Treasury.
|William D. Langford|
Senior VP, Global Head of Compliance
JP Morgan Chase Bank NA
Yvette Hollingsworth joined Barclays Capital in 2008 as a Managing Director and Financial Crime Compliance Head. Ms. Hollingsworth, who is based in New York, is responsible for implementing the company's Global Anti-Money Laundering, Sanctions and Anti-Bribery and Corruption policies. Ms. Hollingsworth joined Barclays Capital after a four year career with Citigroup where she was Managing Director and North America Regional Head for Anti-Money Laundering Compliance of the Institutional Clients Group. Prior to this, Ms. Hollingsworth was a Senior Examiner and Portfolio Manager with the Federal Reserve System with responsibility for implementing supervisory strategies for Large Complex Banking Organizations. Ms. Hollingsworth holds a MBA Degree with a concentration in Financial Institutions and Markets from Syracuse University, Whitman School of Management.
Financial Crime Compliance Head