Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities

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Washington MCLE
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About This Course

There are many inherent challenges facing firms in monitoring and protecting against fraudulent activity. This CLE course, presented by FINRA staff and industry panelists, will offer examples of the controls that their firms have effectively put into place in order to address the rising AML risks.

The course will offer a review of AML and fraud protection red flags, effective practices, monitoring of high risk and/or suspicious activities and the various procedures and controls that can protect your business. Education to bridge the gaps and address vulnerabilities as well as an overview of recent actions and examinations that address current fraud and cyber risks as well as money laundering activities and the enforcement trends to combat these activities will all be presented.

Lecturer Bios

Sarah D. Green, Esq.

Sarah D. Green is Senior Director in the Enforcement Division at FINRA, specializing in anti-money laundering (AML) and other Bank Secrecy Act issues. She has responsibility for consulting with both examination and enforcement staff on AML and other issues, as well as training staff organization-wide on the handling of suspicious activity reports (SARs).

Ms. Green is also responsible for FINRA AML policy issues and guidance and external training of financial industry professionals domestically and internationally. Previously, she was the Bank Secrecy Act Specialist in the Division of Enforcement’s Office of Market Intelligence (OMI) at the U. S. Securities and Exchange Commission (SEC). In this role, she oversaw the Commission’s review and use of SARs, consulted with Enforcement staff on antimony laundering and SAR handling issues, and facilitated information sharing between Enforcement and SEC’s Office of Compliance Inspections and Examinations (OCIE).

Prior to joining OMI, Ms. Green was a Branch Chief in OCIE, managing the Commission’s AML examination program for brokerdealers, including developing examination modules, conducting training for SEC and self-regulatory organization (SRO) staff and coordinating with the SROs on all aspects of AML examination and enforcement. Ms. Green represents FINRA on the Bank Secrecy Act Advisory Group, which advises the Financial Crimes Enforcement Network and the Department of Treasury on anti-money laundering issues.

She is a frequent speaker on AML, and regularly provides technical assistance to domestic and international audiences. Prior to joining the SEC, She was an associate in the Corporate and Securities practice group at Gardner Carton & Douglas LLP. Ms. Green received her J.D. from the William and Mary School of Law and her B.A. from Hamilton College.

Kara Williams

Kara Williams is Senior Principal Investigator in the Special Investigation Unit at FINRA, where she conducts complex AML and Fraud investigations. In addition to her regulatory experience, Ms. Williams is also actively involved with FINRA’s Advanced Analytics Program.

During her 8 years at FINRA, Ms. Williams has served in various investigative roles identifying high risk activity within Member Supervision and the National Cause and Financial Crimes Detection Programs.

Chris Covington

Chris Covington is the Joint Operations Manager at the Pandemic Response Accountability Committee (PRAC). He joined the PRAC in April 2021 after a brief stint at the Healthcare Fraud Prevention Partnership. Mr. Covington manages the PRAC Fraud Task Force which has 41 agents from 12 Offices of Inspector General.

The task force is focused on Pandemic loan fraud involving the Paycheck Protection Program and Economic Injury Disaster Loan program. Mr. Covington retired from the U.S. Department of Health and Human Services Office of Inspector General in September 2020. During his 21-year career, he served as both a Special Agent and Assistant Special Agent in Charge. Mr. Covington is Phi Beta Kappa graduate of the University of Tennessee and holds a master’s degree in political science from Vanderbilt University.

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Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities

Washington MCLEAccreditation Info

About This Course

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