Financial Crimes: Outpacing the Threats

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Washington MCLE
Accreditation Info

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About This Course

In today's rapidly evolving financial landscape, the threat of financial crimes is ever-present and increasingly sophisticated. This CLE course delves into the latest trends and emerging tactics in financial crime, including fraud, money laundering, and cybercrime. Through a combination of theoretical foundations and practical applications, participants will learn how to anticipate and counteract these threats.

Key topics include:

Understanding the spectrum of financial crimes and their impact.
Identifying and mitigating risks associated with financial transactions.
Leveraging technology and data analytics to prevent and detect fraud.
Navigating the regulatory landscape and ensuring compliance.
Implementing best practices for financial crime prevention and response.
By the end of this course, participants will be well-equipped to protect their organizations from financial crimes and to stay a step ahead in an ever-changing threat environment.

Lecturer Bios

Gargi Sharma Esq.

Gargi Sharma is Investigative Director within FINRA’s Special Investigation Unit and supports a team of five investigators who conduct complex Anti-Money Laundering investigations.

Ms. Sharma is also involved with identifying industry trends that pose compliance risk, especially related to Anti-Money Laundering, and providing training internally within FINRA and to the industry.

Ms. Sharma is a Certified Anti-Money Laundering Specialist and graduated from the University of Texas with bachelor’s and master’s degrees in Finance and Accounting. Ms. Sharma works from FINRA’s Florida Office and has been with FINRA for 14 years.

Tina Tambiah

Tina Tambiah is Senior Director in the National Cause and Financial Crimes Detection Programs. In this role, she oversees FINRA’s centralized intake unit responsible for reviewing and investigating regulatory events, including investor complaints, regulatory tips, and referrals. Ms. Tambiah also oversees the Vulnerable Adults and Seniors Team (VAST) intake group solely focused on answering incoming calls to FINRA Securities Helpline for Seniors.

Ms. Tambiah leads FINRA’s Complaint Initiative Committee (CIC) which is composed of representatives from approximately 23 member firms that file much of the information collected pursuant to FINRA Rule 4530. Prior to this role, Ms. Tambiah was an Investigations Director in the Retail Firm Grouping. She led a team managing large and complex investigations which included fraudulent activity and other serious misconduct.

Prior to 2019, Ms. Tambiah held management roles in the Firm Exam and Investigation programs while in the Boston District Office where she was responsible for managing routine and specialized examinations of member broker-dealers and investigations of customer complaints, termination for cause, disclosure filings and regulatory tips against individual brokers.

She has presented case findings and disciplinary action recommendations to the enforcement department for disciplinary action proceedings. Ms. Tambiah earned her Bachelor of Arts degree in Economics from Stony Brook University. She is also a graduate of FINRA’s Leadership Development Program at Wharton.

James C. Barnacle

James C. Barnacle serves as Deputy Assistant Director (DAD) in the Criminal Investigative Division, overseeing operations, policy, initiatives, and guidance of the FBI’s Financial Crimes, Public Corruption and Civil Rights programs. Mr. Barnacle is also responsible for all Covert Operations. Prior to being named DAD, Mr. Barnacle was Chief of the Financial Crimes Section, overseeing the FBI’s Complex Financial Crimes program, including money laundering, virtual assets, corporate and securities fraud, financial institution fraud, intellectual property rights crime, healthcare fraud, and the forensic accounting programs.

Mr. Barnacle previously served as an Assistant Special Agent in Charge (ASAC) of the Detroit Field Office, overseeing investigations into fraud, transnational organized crime, corruption, and civil rights. Before his position in Detroit, Mr. Barnacle served as Chief of the Money Laundering, Forfeiture & Bank Fraud Unit in Washington, D.C.

Mr. Barnacle had prior responsibility as Supervisory Special Agent and Coordinator of the Public Corruption Program at the FBI’s New York Field Office leading efforts against corrupt public officials, fraud against the U.S. government, and violations of the U.S. Foreign Corrupt Practices Act (FCPA).

Mr. Barnacle began his FBI career as an investigator of securities fraud, commodities fraud, bank fraud, and money laundering violations in the New York Field Office. Mr. Barnacle’s cases resulted in the recovery and return of nearly $1 Billion in assets to victims of fraud. Mr. Barnacle is a graduate of the Pennsylvania State University.

Lisa Wheeler

Lisa Wheeler joined JPMorgan Chase in 2012 and is currently the Global Head of AML for the Commercial and Investment Bank. She is responsible for setting the strategic agenda for the business through the interpretation and implementation of the GFCC Anti-Money Laundering/Know Your Customer processes, and providing counsel and advice to executive level and senior leadership in those key lines of business. Lisa has directly supported Risk and Compliance since 2007 in both the corporate and financial services environments.

Prior to roles in Risk and Compliance, Lisa managed commodity price risk as a broker for 5 years for a large, global agriculture company. Prior to that, Lisa reported on commodities and financial markets in Brazil, France and New York for a financial news wire service. In those roles, Lisa used her French and Portuguese fluency to help customers better understand their market risk and supply and demand events.

She holds a Master of Business Administration from DePaul University and a Bachelor of Science in Economics, Agricultural Economics and French from the University of Missouri-Columbia. She currently resides in Chicago, Illinois.

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Financial Crimes: Outpacing the Threats

Washington MCLEAccreditation Info

About This Course

Key topics include:

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