Bio

I am a Partner and Global Legislative and Regulatory Risk Leader for the Financial Services segment at Guidehouse. In this exciting role, I am responsible for staying on top of the changing regulatory landscape that will affect our clients before they know it. Everything from cryptocurrency, digital assets and FinTech, and the rapidly changing world of payments, to ESG, the governance of sustainability and social goals. I have an extensive background in compliance and regulation, including anti-money laundering, (''AML''), economic sanctions, securities regulation, and fraud. I have counseled large global financial institutions as well as regional institutions, in a variety of projects, including gap analyses, compliance program reviews, risk assessments, financial investigations, remediation efforts, and transaction reviews. I build compliance programs and governance models from the ground up. I have held acting senior AML compliance leadership positions at several global and regional financial institutions providing day-to-day management of their compliance programs and assisting them with implementing enhancements, often in the context of a regulatory or criminal enforcement action. I have advised and trained the financial services industry as well as other regulators and government officials worldwide on AML and combating the financing of terrorism (CFT) compliance. I held senior enforcement positions at the US Securities and Exchange Commission, the US Department of the Treasury’s Financial Crimes Enforcement Network and the Financial Industry Regulatory Authority. In those positions, I investigated and litigated a variety of securities regulatory, investor protection and AML issues. I am a frequent speaker and author on AML/CFT, economic sanctions, ESG and other regulatory issues. Recently discussed global strategies and challenges in preventing financial crime in this CNBC Street Signs interview: http://video.cnbc.com/gallery/?video=3000552485 I have also served as the SEC consultant to the Martin Scorsese film, ''The Wolf of Wall Street.'' Specialties: Anti-Money Laundering Counter Terrorist Financing Due Diligence Securities Regulation Broker-Dealer Regulation Fraud Special Investigations Securities Enforcement Financial Services Compliance Anti-Bribery and Corruption