Marianne Yen is an Attorney at Law with more than 25 years of experience in the financial services industry, including 10 years with Morgan Stanley. She transitioned to Compliance at Morgan Stanley and has spent the last 11 years specializing in Compliance and Risk Management, serving as Head of Strategic Risk at Barclays Wealth Management and as the subject matter expert on the Monitorship of a global bank under a Consent Order for sanctions violations. Marianne also teaches part time at Columbia Law School, her alma mater.
Marianne Yen is an Attorney at Law with more than 25 years of experience in the financial services industry, including 10 years with Morgan Stanley. She transitioned to Compliance at Morgan Stanley and has spent the last 11 years specializing in Compliance and Risk Management, serving as Head of Strategic Risk at Barclays Wealth Management and as the subject matter expert on the Monitorship of a global bank under a Consent Order for sanctions violations. Marianne also teaches part time at Columbia Law School, her alma mater.
Nina Guinchard is Managing Director at Santander Corporate & Investment Banking (SCIB), serving as US Chief Operating Officer and Global Head of Client Lifecycle Management. She leads global initiatives to simplify onboarding and KYC processes, driving innovation through tech and AI enabled automation and operational excellence. With prior leadership roles at Citi, Deutsche Bank and JPMorgan, Nina brings deep expertise in transformation and non-financial risk. Based in New York, she is passionate about developing future leaders and fostering collaboration to deliver exceptional client experiences and sustainable growth.
Nina Guinchard is Managing Director at Santander Corporate & Investment Banking (SCIB), serving as US Chief Operating Officer and Global Head of Client Lifecycle Management. She leads global initiatives to simplify onboarding and KYC processes, driving innovation through tech and AI enabled automation and operational excellence. With prior leadership roles at Citi, Deutsche Bank and JPMorgan, Nina brings deep expertise in transformation and non-financial risk. Based in New York, she is passionate about developing future leaders and fostering collaboration to deliver exceptional client experiences and sustainable growth.
Joel is currently Chief Compliance Officer, North America for Campbell Lutyens, a global private equity advisory firm. Directly prior to this role, he was Head of Compliance, Investment Banking for Berenberg Capital Markets LLC, advising on compliance, legal, operations, and finance for investment banking, research, and equity trading. Previously, he worked for Skandinaviska Enskilda Banken AB and Fidelity Investments. He graduated from Florida State University with a Bachelor of Science in Economics and Bachelor of Arts in International Affairs and earned his law degree from New York Law School. He holds the ACAMS Certified Anti-Money Laundering Specialist (CAMS) and FINRA Certified Regulatory and Compliance Professional (CRCP) certifications.
Joel is currently Chief Compliance Officer, North America for Campbell Lutyens, a global private equity advisory firm. Directly prior to this role, he was Head of Compliance, Investment Banking for Berenberg Capital Markets LLC, advising on compliance, legal, operations, and finance for investment banking, research, and equity trading. Previously, he worked for Skandinaviska Enskilda Banken AB and Fidelity Investments. He graduated from Florida State University with a Bachelor of Science in Economics and Bachelor of Arts in International Affairs and earned his law degree from New York Law School. He holds the ACAMS Certified Anti-Money Laundering Specialist (CAMS) and FINRA Certified Regulatory and Compliance Professional (CRCP) certifications.
Stacey Chieng has been the Chief Anti-Money Laundering Officer at Interactive Brokers since 2022. She joined Interactive Brokers in 2020 as the Head of Sanctions. Before joining Interactive Brokers, she was the Vice President of Economic Sanctions at U.S. Bank where she helped develop a robust sanctions compliance program. Stacey began her career at Protiviti in the internal audit practice before moving to risk and compliance specializing in AML remediations for financial institutions. She has a BSBA in Accounting and Masters in Accounting from Washington University in St. Louis. Stacey has her Certified Anti-Money Laundering Specialist (CAMS) certification, FINRA 7 and 24 licenses, and CPA (inactive) license.
Stacey Chieng has been the Chief Anti-Money Laundering Officer at Interactive Brokers since 2022. She joined Interactive Brokers in 2020 as the Head of Sanctions. Before joining Interactive Brokers, she was the Vice President of Economic Sanctions at U.S. Bank where she helped develop a robust sanctions compliance program. Stacey began her career at Protiviti in the internal audit practice before moving to risk and compliance specializing in AML remediations for financial institutions. She has a BSBA in Accounting and Masters in Accounting from Washington University in St. Louis. Stacey has her Certified Anti-Money Laundering Specialist (CAMS) certification, FINRA 7 and 24 licenses, and CPA (inactive) license.
Jason Foye is the Vice President of FINRA’s Illicit Finance and Fraud program. In this role Jason oversees FINRA’s Special Investigations Unit (SIU), High Risk Representative unit (HRR) and Vulnerable Adults and Seniors Team (VAST). These teams conduct investigations into illicit finance and fraud related threats, provide guidance and training to staff across FINRA’s Regulatory Operations and share threat intelligence and effective practices to combat illicit finance and fraud related threats with industry personnel. Also, Jason serves as the Chief of FINRA’s Crypto Hub, a cross-departmental initiative focused on ensuring FINRA is prepared to fulfil their regulatory mission with respect to crypto asset activities conducted by member firms and associated persons.
Jason Foye is the Vice President of FINRA’s Illicit Finance and Fraud program. In this role Jason oversees FINRA’s Special Investigations Unit (SIU), High Risk Representative unit (HRR) and Vulnerable Adults and Seniors Team (VAST). These teams conduct investigations into illicit finance and fraud related threats, provide guidance and training to staff across FINRA’s Regulatory Operations and share threat intelligence and effective practices to combat illicit finance and fraud related threats with industry personnel. Also, Jason serves as the Chief of FINRA’s Crypto Hub, a cross-departmental initiative focused on ensuring FINRA is prepared to fulfil their regulatory mission with respect to crypto asset activities conducted by member firms and associated persons.
With over 16 years of experience at Standard Chartered, James began his career in the Head Office in London, working within the European Financial Crime Compliance team before relocating to New York in 2013, to contribute to the Bank's Supervisory Remediation Program. Since joining the Sanctions Team in 2016, James has been leading a dedicated team that provides critical advice on sanctions-related matters to our business units. His team is also responsible for regulatory engagement and reporting to OFAC.
With over 16 years of experience at Standard Chartered, James began his career in the Head Office in London, working within the European Financial Crime Compliance team before relocating to New York in 2013, to contribute to the Bank's Supervisory Remediation Program. Since joining the Sanctions Team in 2016, James has been leading a dedicated team that provides critical advice on sanctions-related matters to our business units. His team is also responsible for regulatory engagement and reporting to OFAC.
Yi Hong is the Head of Governance for the Americas Financial Crime Compliance at Barclays, with over a decade of experience across global financial institutions. Her expertise spans business advisory and investigations in Markets, Investment Banking, Wholesale Banking, and Correspondent Banking. She is a licensed New York attorney, CAMS-certified professional, and Certified Cryptoasset AFC Specialist.
Yi Hong is the Head of Governance for the Americas Financial Crime Compliance at Barclays, with over a decade of experience across global financial institutions. Her expertise spans business advisory and investigations in Markets, Investment Banking, Wholesale Banking, and Correspondent Banking. She is a licensed New York attorney, CAMS-certified professional, and Certified Cryptoasset AFC Specialist.
Prior to joining NerdWallet Wealth Partners, LLC, Persia founded Compliantry Consulting, LLC providing regulatory compliance consulting services to banks, credit unions, and RIAs. Her background includes heading the compliance program for Members Trust Company and serving as Chief Compliance Officer of MTC Wealth Management. Prior roles include Chief Compliance Officer of Q-Emerging Markets, Corp. as well as working in Compliance and General Counsel at Raymond James & Associates. Persia was named as one 50 Women to Watch in 2025 by Corporate Counsel Business Journal. She earned her Bachelor of Arts in International Studies with a focus on Conflict Resolution in the Middle East & North Africa from Emory University. Persia earned her Juris Doctor from University of Miami School of Law.
Prior to joining NerdWallet Wealth Partners, LLC, Persia founded Compliantry Consulting, LLC providing regulatory compliance consulting services to banks, credit unions, and RIAs. Her background includes heading the compliance program for Members Trust Company and serving as Chief Compliance Officer of MTC Wealth Management. Prior roles include Chief Compliance Officer of Q-Emerging Markets, Corp. as well as working in Compliance and General Counsel at Raymond James & Associates. Persia was named as one 50 Women to Watch in 2025 by Corporate Counsel Business Journal. She earned her Bachelor of Arts in International Studies with a focus on Conflict Resolution in the Middle East & North Africa from Emory University. Persia earned her Juris Doctor from University of Miami School of Law.
Michelle is responsible for managing SMBC’s Financial Crime Compliance (FCC) Program-Americas Division, which covers anti-money laundering, sanctions, anti-bribery and corruption, and anti-fraud for the US, Canada, Brazil, and Mexico. She joined SMBC in 2020 and she has over 30 years of experience covering financial crime working in the US Government, foreign and US banks, and consulting. While in industry, she has developed and managed global programs focusing on AML, fraud risk management, investigations, whistleblowing, and anti-bribery & corruption with teams located in various regions. She received an MBA from George Washington University in International Business and currently lives in New York.
Michelle is responsible for managing SMBC’s Financial Crime Compliance (FCC) Program-Americas Division, which covers anti-money laundering, sanctions, anti-bribery and corruption, and anti-fraud for the US, Canada, Brazil, and Mexico. She joined SMBC in 2020 and she has over 30 years of experience covering financial crime working in the US Government, foreign and US banks, and consulting. While in industry, she has developed and managed global programs focusing on AML, fraud risk management, investigations, whistleblowing, and anti-bribery & corruption with teams located in various regions. She received an MBA from George Washington University in International Business and currently lives in New York.
Daniel is a compliance financial crime risk professional with more than a decade of experience specializing in BSA/AML and OFAC programs across the U.S. and global banking environments. His work focuses on building and enhancing risk assessment methodologies, applying data driven analysis, and strengthening governance, monitoring and regulatory reporting frameworks. Daniel currently leads the Financial Crimes Risk Assessment Team within the Americas. He is an active member of the NY and NJ ACAMS community and is bilingual in Portuguese and Spanish, which supports his work across international business lines. Daniel attended several universities including Rutgers University and NJCU.
Daniel is a compliance financial crime risk professional with more than a decade of experience specializing in BSA/AML and OFAC programs across the U.S. and global banking environments. His work focuses on building and enhancing risk assessment methodologies, applying data driven analysis, and strengthening governance, monitoring and regulatory reporting frameworks. Daniel currently leads the Financial Crimes Risk Assessment Team within the Americas. He is an active member of the NY and NJ ACAMS community and is bilingual in Portuguese and Spanish, which supports his work across international business lines. Daniel attended several universities including Rutgers University and NJCU.
Andelija is responsible for overseeing Financial Crime Prevention production operations for ING Americas across Asia, Europe, and New York, ensuring consistent delivery, operational efficiency, and high-quality outcomes. The production teams represent the first line of defense, enabling ING to grow, innovate, and serve clients with confidence. This is achieved through strong and effective controls, stable and well-governed processes, and predictable, reliable delivery. Andelija focuses on driving alignment across regions while maintaining rigorous standards and supporting sustainable business growth.
Andelija is responsible for overseeing Financial Crime Prevention production operations for ING Americas across Asia, Europe, and New York, ensuring consistent delivery, operational efficiency, and high-quality outcomes. The production teams represent the first line of defense, enabling ING to grow, innovate, and serve clients with confidence. This is achieved through strong and effective controls, stable and well-governed processes, and predictable, reliable delivery. Andelija focuses on driving alignment across regions while maintaining rigorous standards and supporting sustainable business growth.
Alice Rojas is responsible for managing a team of sanctions compliance professionals working on sanctions-related investigations, advisory, policy and procedures, training, and screening. In addition, Ms. Rojas served as an Assistant Prosecuting Attorney in Michigan and worked for 10 years in the federal government on sanctions and export control related issues at the Office of Foreign Assets Control (OFAC), the U.S. Department of State, and Homeland Security Investigations (HSI). Ms. Rojas holds a BA in Comparative Literature from the University of Michigan, an MA in International Affairs from George Washington University, and a JD from the Georgetown University Law Center.
Alice Rojas is responsible for managing a team of sanctions compliance professionals working on sanctions-related investigations, advisory, policy and procedures, training, and screening. In addition, Ms. Rojas served as an Assistant Prosecuting Attorney in Michigan and worked for 10 years in the federal government on sanctions and export control related issues at the Office of Foreign Assets Control (OFAC), the U.S. Department of State, and Homeland Security Investigations (HSI). Ms. Rojas holds a BA in Comparative Literature from the University of Michigan, an MA in International Affairs from George Washington University, and a JD from the Georgetown University Law Center.
Ana previously held a number of roles within the Financial Crimes Organization at Stripe including Head of AML Intelligence and Head of Risk Assessment. Prior to joining Stripe, Ana was Senior Investigator at Kroll, a global risk management consulting firm, where she led complex investigations into a wide range of issues including corporate fraud and sexual misconduct. Ana has also served as an independent consultant for the United Nations Counter Terrorism Executive Directorate and has experience working at public policy Think Tanks in Washington D.C. and Mexico City. Ana Davila holds a B.A. in International Relations from the Tecnologico de Monterrey in Mexico and a Master of Science in Global Affairs and Transnational Security from New York University.
Ana previously held a number of roles within the Financial Crimes Organization at Stripe including Head of AML Intelligence and Head of Risk Assessment. Prior to joining Stripe, Ana was Senior Investigator at Kroll, a global risk management consulting firm, where she led complex investigations into a wide range of issues including corporate fraud and sexual misconduct. Ana has also served as an independent consultant for the United Nations Counter Terrorism Executive Directorate and has experience working at public policy Think Tanks in Washington D.C. and Mexico City. Ana Davila holds a B.A. in International Relations from the Tecnologico de Monterrey in Mexico and a Master of Science in Global Affairs and Transnational Security from New York University.
Adrienne Kosta is Head of Financial Crimes Programs and Deputy Head of Financial Crimes at Fidelity Investments. Ms. Kosta has management responsibilities for the teams that provide Anti-Money Laundering/Countering the Financing of Terrorism and Anti-Corruption advice and oversight for Fidelity Investments, including the AML Officers for the Fidelity financial institutions and the Head of Anti-Corruption. Ms. Kosta initially joined Fidelity in January 2016 as AML Officer for the clearing and capital markets businesses at Fidelity. Her prior experience at Fidelity also includes management of the Global Sanctions Program. Before Fidelity, Ms. Kosta held roles in Financial Crimes at JPMorgan Chase & Co. and Pershing, LLC, a BNY Mellon company. Ms. Kosta is the immediate past Co-Chair and current conference planning member of the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering Committee. She is a frequent speaker at industry conferences. Ms. Kosta received her B.A. from the University of Maryland and her J.D. from Hofstra University School of Law. She is a member of both the New York and New Jersey bars and holds Series 7 and Series 24 licenses.
Adrienne Kosta is Head of Financial Crimes Programs and Deputy Head of Financial Crimes at Fidelity Investments. Ms. Kosta has management responsibilities for the teams that provide Anti-Money Laundering/Countering the Financing of Terrorism and Anti-Corruption advice and oversight for Fidelity Investments, including the AML Officers for the Fidelity financial institutions and the Head of Anti-Corruption. Ms. Kosta initially joined Fidelity in January 2016 as AML Officer for the clearing and capital markets businesses at Fidelity. Her prior experience at Fidelity also includes management of the Global Sanctions Program. Before Fidelity, Ms. Kosta held roles in Financial Crimes at JPMorgan Chase & Co. and Pershing, LLC, a BNY Mellon company. Ms. Kosta is the immediate past Co-Chair and current conference planning member of the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering Committee. She is a frequent speaker at industry conferences. Ms. Kosta received her B.A. from the University of Maryland and her J.D. from Hofstra University School of Law. She is a member of both the New York and New Jersey bars and holds Series 7 and Series 24 licenses.
Justin Mendelsohn is the Head of AML and Sanctions Compliance for Fidelity Digital Assets, NA, a limited purpose trust bank serving institutional and retail investors. In this role, Mr. Mendelsohn is responsible for the design and implementation of the firm’s AML and Sanctions compliance programs in the US, UK and Europe. Mr. Mendelsohn previously served as the Global Head of Financial Crimes Compliance and BSA Officer for Brown Brothers Harriman & Co., a privately held bank that provides financial services to institutional and individual investors around the world. Before joining Brown Brothers, Justin was an attorney for the law firm Schulte Roth & Zabel with a practice focused on white-collar criminal defense, securities regulatory matters and internal investigations.
Justin Mendelsohn is the Head of AML and Sanctions Compliance for Fidelity Digital Assets, NA, a limited purpose trust bank serving institutional and retail investors. In this role, Mr. Mendelsohn is responsible for the design and implementation of the firm’s AML and Sanctions compliance programs in the US, UK and Europe. Mr. Mendelsohn previously served as the Global Head of Financial Crimes Compliance and BSA Officer for Brown Brothers Harriman & Co., a privately held bank that provides financial services to institutional and individual investors around the world. Before joining Brown Brothers, Justin was an attorney for the law firm Schulte Roth & Zabel with a practice focused on white-collar criminal defense, securities regulatory matters and internal investigations.
Kris Tziazas is the Head of Anti-Money Laundering at Ares Management, where he helps lead the firm’s Financial Crimes Prevention program. In this role, he is responsible for AML strategy, governance, and risk management across Ares’ global platform, partnering closely with senior leadership, legal, and investment teams. Prior to joining Ares, Kris served as a Vice President at Blackstone within its Anti-Money Laundering function and earlier worked in financial crimes compliance at Goldman Sachs. Before transitioning to financial services, Kris began his career at a New York City law enforcement agency, investigating organized crime. He also served eight years in the U.S. Army, including a combat deployment to Iraq (2008–2009). Kris holds an MBA from Columbia University, a BA from Fordham University, and is Co-Chair of the New York Center for Children, a nonprofit providing free therapy services to victims of child abuse.
Kris Tziazas is the Head of Anti-Money Laundering at Ares Management, where he helps lead the firm’s Financial Crimes Prevention program. In this role, he is responsible for AML strategy, governance, and risk management across Ares’ global platform, partnering closely with senior leadership, legal, and investment teams. Prior to joining Ares, Kris served as a Vice President at Blackstone within its Anti-Money Laundering function and earlier worked in financial crimes compliance at Goldman Sachs. Before transitioning to financial services, Kris began his career at a New York City law enforcement agency, investigating organized crime. He also served eight years in the U.S. Army, including a combat deployment to Iraq (2008–2009). Kris holds an MBA from Columbia University, a BA from Fordham University, and is Co-Chair of the New York Center for Children, a nonprofit providing free therapy services to victims of child abuse.
Dr. David Gorzon is Head of Markets Compliance (Americas) at Commerzbank in New York, where he drives the bank’s Agentic AI initiatives shaping next-generation risk management and intelligent automation. With a background spanning across risk management areas, he combines regulatory expertise with hands-on technological capability. David holds a PhD in Behavioral Finance, focusing on investor decision-making and cognitive biases. He is passionate about building practical, safe, and explainable AI systems that strengthen risk controls and enable more efficient and effective oversight.
Dr. David Gorzon is Head of Markets Compliance (Americas) at Commerzbank in New York, where he drives the bank’s Agentic AI initiatives shaping next-generation risk management and intelligent automation. With a background spanning across risk management areas, he combines regulatory expertise with hands-on technological capability. David holds a PhD in Behavioral Finance, focusing on investor decision-making and cognitive biases. He is passionate about building practical, safe, and explainable AI systems that strengthen risk controls and enable more efficient and effective oversight.
Sourit leads the global financial crimes risk and analytics program at Interactive Brokers, architecting next-generation compliance ecosystems at the intersection of regulatory excellence and advanced analytics. He specializes in AI-powered transaction monitoring, machine learning risk models, and enterprise control assurance. With a distinguished background at Deloitte and EY, he engineered compliance transformations for Tier 1 financial institutions, leading high-stakes regulatory remediations and consent order resolutions. Sourit pioneers innovative solutions leveraging artificial intelligence and behavioral analytics to combat sophisticated financial crime in the digital brokerage landscape – building adaptive, future-proof infrastructures that detect emerging threats while optimizing operational efficiency.
Sourit leads the global financial crimes risk and analytics program at Interactive Brokers, architecting next-generation compliance ecosystems at the intersection of regulatory excellence and advanced analytics. He specializes in AI-powered transaction monitoring, machine learning risk models, and enterprise control assurance. With a distinguished background at Deloitte and EY, he engineered compliance transformations for Tier 1 financial institutions, leading high-stakes regulatory remediations and consent order resolutions. Sourit pioneers innovative solutions leveraging artificial intelligence and behavioral analytics to combat sophisticated financial crime in the digital brokerage landscape – building adaptive, future-proof infrastructures that detect emerging threats while optimizing operational efficiency.
Joshua Gubitz has spent the past 26 years helping companies understand what their data is telling them and using those insights to craft strategies and solutions and improve compliance. He has helped some of the world’s leading financial institutions fight financial crime and improve their overall AML/FCC frameworks. Joshua has extensive expertise in transaction monitoring, customer risk rating, sanctions screening, and financial crime investigations. He has worked with over 55 financial institutions all over the world, from Tier 1 Banks to Fintechs to FBOs. He has interacted directly with government financial regulators on four continents and spent 14 years living and working in Western Europe, the Middle East and East Asia.
Joshua Gubitz has spent the past 26 years helping companies understand what their data is telling them and using those insights to craft strategies and solutions and improve compliance. He has helped some of the world’s leading financial institutions fight financial crime and improve their overall AML/FCC frameworks. Joshua has extensive expertise in transaction monitoring, customer risk rating, sanctions screening, and financial crime investigations. He has worked with over 55 financial institutions all over the world, from Tier 1 Banks to Fintechs to FBOs. He has interacted directly with government financial regulators on four continents and spent 14 years living and working in Western Europe, the Middle East and East Asia.
Nathan Weger acts as the Head of Compliance for Omni Bridgeway, a leading global litigation financing firm. Nathan is responsible for oversight, development, and maintenance of Omni’s compliance program, managing its implementation across multiple markets and advising the business of regulatory developments applicable to the group. Nathan has 13 years compliance experience across FINRA and SEC compliance.
Nathan Weger acts as the Head of Compliance for Omni Bridgeway, a leading global litigation financing firm. Nathan is responsible for oversight, development, and maintenance of Omni’s compliance program, managing its implementation across multiple markets and advising the business of regulatory developments applicable to the group. Nathan has 13 years compliance experience across FINRA and SEC compliance.
Andres is a Certified Anti-Money Laundering Specialist, Certified Financial Crime Specialist, Certified Blockchain Expert, Certified Cryptocurrency Investigator, and member of the International Association of Financial Crimes Investigators who works as VP, AML/Sanctions Advisory for Canada and International Advisory in PNC Bank Canada. He leads and manages the 1st Line Canada Branch and Business Credit UK AML and Sanctions Programs including providing advice and council on regulatory changes, emerging risk, client onboarding, risk rating and oversight including metrics and reporting of client portfolios. While at Scotiabank AML Internal Control and International Banking Andres was responsible for the design, implementation, and ongoing enhancement of AML/ATF controls for International Banking business units, specifically through the oversight of implementation of technology to meet AML/ATF and Sanctions Policy objectives. Andres has over 10 years of experience in compliance and AML working within the financial services industry working on regulatory compliance effectiveness reviews, AML and fraud investigations, AML remediations, quality assurance program design and testing, training and strategy development, Centre of Excellence processes and AML internal control audits in Canada and international banking regulatory audit reports (Colombia, Chile, Peru, Mexico, Caribbean, Puerto Rico, Cayman, TCI, Uruguay and Central America).
Andres is a Certified Anti-Money Laundering Specialist, Certified Financial Crime Specialist, Certified Blockchain Expert, Certified Cryptocurrency Investigator, and member of the International Association of Financial Crimes Investigators who works as VP, AML/Sanctions Advisory for Canada and International Advisory in PNC Bank Canada. He leads and manages the 1st Line Canada Branch and Business Credit UK AML and Sanctions Programs including providing advice and council on regulatory changes, emerging risk, client onboarding, risk rating and oversight including metrics and reporting of client portfolios. While at Scotiabank AML Internal Control and International Banking Andres was responsible for the design, implementation, and ongoing enhancement of AML/ATF controls for International Banking business units, specifically through the oversight of implementation of technology to meet AML/ATF and Sanctions Policy objectives. Andres has over 10 years of experience in compliance and AML working within the financial services industry working on regulatory compliance effectiveness reviews, AML and fraud investigations, AML remediations, quality assurance program design and testing, training and strategy development, Centre of Excellence processes and AML internal control audits in Canada and international banking regulatory audit reports (Colombia, Chile, Peru, Mexico, Caribbean, Puerto Rico, Cayman, TCI, Uruguay and Central America).
Stephen Alsace has over 20 years’ experience providing advice on financial crime, AML, sanctions and anti-bribery, anti-corruption issues. He was recently appointed Head of Financial Crimes Transformation while also continuing his role as Vice President and Global Head of Sanctions, Anti-Bribery and Anti-Corruption (ABAC). Prior to joining RBC in 2022, Stephen was a Director in the Global Investigations and Compliance practice of Guidehouse Consulting (formerly Navigant). Stephen also spent over 18 years at CIBC, starting in the Legal Department as the lead lawyer on AML and Sanctions, then as the Global Head of Sanctions and Terrorist Financing. Stephen has spoken at numerous conferences in Canada, the US and UK on sanctions and financial crime matters.
Stephen Alsace has over 20 years’ experience providing advice on financial crime, AML, sanctions and anti-bribery, anti-corruption issues. He was recently appointed Head of Financial Crimes Transformation while also continuing his role as Vice President and Global Head of Sanctions, Anti-Bribery and Anti-Corruption (ABAC). Prior to joining RBC in 2022, Stephen was a Director in the Global Investigations and Compliance practice of Guidehouse Consulting (formerly Navigant). Stephen also spent over 18 years at CIBC, starting in the Legal Department as the lead lawyer on AML and Sanctions, then as the Global Head of Sanctions and Terrorist Financing. Stephen has spoken at numerous conferences in Canada, the US and UK on sanctions and financial crime matters.
Ravi Patil is currently Director of Data Analytics & Model Optimization at Commerzbank AG, where he leads data-driven initiatives to drive business outcomes across AML systems including transaction monitoring, enhanced due diligence, and sanctions screening. He has more than 20 years of experience spanning fintech, aerospace, and defense industries. He is passionate about leveraging innovative technologies and automation to solve complex regulatory challenges.
Ravi Patil is currently Director of Data Analytics & Model Optimization at Commerzbank AG, where he leads data-driven initiatives to drive business outcomes across AML systems including transaction monitoring, enhanced due diligence, and sanctions screening. He has more than 20 years of experience spanning fintech, aerospace, and defense industries. He is passionate about leveraging innovative technologies and automation to solve complex regulatory challenges.
Kabir Tariq has over 10 years of experience in AML Compliance, Risk Management, and Regulatory Audits, and brings deep expertise in navigating complex regulatory environments while enabling business growth. He has held leadership roles across financial institutions within the Money Services Business (MSB) sector. Notably, he was instrumental in driving Plooto’s compliance and risk strategy during its growth phase from 2019 to 2023. Kabir holds a BComm degree from the University of Toronto and a CAMS designation.
Kabir Tariq has over 10 years of experience in AML Compliance, Risk Management, and Regulatory Audits, and brings deep expertise in navigating complex regulatory environments while enabling business growth. He has held leadership roles across financial institutions within the Money Services Business (MSB) sector. Notably, he was instrumental in driving Plooto’s compliance and risk strategy during its growth phase from 2019 to 2023. Kabir holds a BComm degree from the University of Toronto and a CAMS designation.
Jennifer Slater is a Director in the Deutsche Bank Legal Department covering all anti-financial crime and sanctions matters for the Americas. In her role, she advises senior management, the anti-financial crime functions, including AML and sanctions, and all business lines, on financial crime issues including sanctions, export controls, anti-money laundering, anti-corruption, bribery, fraud, and related matters. Jennifer joined Deutsche Bank in 2015 and previously held regional and global roles at Lloyds Banking Group, MSCI, and Lehman Brothers, including working in private practice prior to joining Deutsche Bank. Jennifer holds a J.D. from Temple University Beasley School of Law, where she was a member of the Political and Civil Rights Law Review. She holds a B.A. from Williams College, majoring in Political Science, International Relations.
Jennifer Slater is a Director in the Deutsche Bank Legal Department covering all anti-financial crime and sanctions matters for the Americas. In her role, she advises senior management, the anti-financial crime functions, including AML and sanctions, and all business lines, on financial crime issues including sanctions, export controls, anti-money laundering, anti-corruption, bribery, fraud, and related matters. Jennifer joined Deutsche Bank in 2015 and previously held regional and global roles at Lloyds Banking Group, MSCI, and Lehman Brothers, including working in private practice prior to joining Deutsche Bank. Jennifer holds a J.D. from Temple University Beasley School of Law, where she was a member of the Political and Civil Rights Law Review. She holds a B.A. from Williams College, majoring in Political Science, International Relations.
David is a Director in FINRA's AML Special Investigations Unit, bringing extensive experience in anti-money laundering compliance and investigations across regulatory and industry settings. David began his career at Merrill Lynch, where he obtained his Series 7 and 66 licenses. He then spent seven years at FINRA, progressing from investigator to manager within the AML Investigative Unit. In 2017, David left FINRA to launch a consulting firm focused on protecting professional athletes from financial fraud. In 2021, David joined DriveWealth, a FinTech clearing firm, where he helped build the company's AML program and systems while earning his Series 24 license. He returned to FINRA in September 2024.
David is a Director in FINRA's AML Special Investigations Unit, bringing extensive experience in anti-money laundering compliance and investigations across regulatory and industry settings. David began his career at Merrill Lynch, where he obtained his Series 7 and 66 licenses. He then spent seven years at FINRA, progressing from investigator to manager within the AML Investigative Unit. In 2017, David left FINRA to launch a consulting firm focused on protecting professional athletes from financial fraud. In 2021, David joined DriveWealth, a FinTech clearing firm, where he helped build the company's AML program and systems while earning his Series 24 license. He returned to FINRA in September 2024.
Leon D'Souza is a TIAA executive who leads the Enterprise Risk, Compliance, and Privacy Programs and oversees the TIAA Global Capabilities, India (TIAA GC) Risk and Compliance Programs. As a Risk and Compliance leader and member of the Texas Leadership Council, he demonstrates exceptional strategic leadership across critical governance functions and serves as a leading champion of AI innovation. Beginning as General Counsel and Chief Legal, Risk, Compliance and Privacy Officer for TIAA GC, Leon established robust governance frameworks and expanded global functions into one of TIAA GC's fastest-growing business lines. He relocated to Frisco, Texas in April 2025 to enhance his enterprise leadership role. A qualified attorney with 29+ years of experience in banking and financial institutions, Leon previously held senior positions at ICICI Bank, ING, JPMorgan Chase, Lehman Brothers, and Nomura. He actively serves on numerous regulatory committees and supports not-for-profit organizations.
Leon D'Souza is a TIAA executive who leads the Enterprise Risk, Compliance, and Privacy Programs and oversees the TIAA Global Capabilities, India (TIAA GC) Risk and Compliance Programs. As a Risk and Compliance leader and member of the Texas Leadership Council, he demonstrates exceptional strategic leadership across critical governance functions and serves as a leading champion of AI innovation. Beginning as General Counsel and Chief Legal, Risk, Compliance and Privacy Officer for TIAA GC, Leon established robust governance frameworks and expanded global functions into one of TIAA GC's fastest-growing business lines. He relocated to Frisco, Texas in April 2025 to enhance his enterprise leadership role. A qualified attorney with 29+ years of experience in banking and financial institutions, Leon previously held senior positions at ICICI Bank, ING, JPMorgan Chase, Lehman Brothers, and Nomura. He actively serves on numerous regulatory committees and supports not-for-profit organizations.
Mark A. Egert has been providing regulatory counseling to financial institutions for over 25 years. On the legal side, he has served as Law Firm Partner at Crowell & Moring, Chief Legal Officer at ABN AMRO and Associate at Shearman & Sterling. As Chief Compliance Officer, Mark has enhanced compliance programs at JPMorgan (where he served as Head of Compliance for Asset Management – Americas), Brown Brothers Harriman, Cowen & Co., RBC Capital Markets, Brevet Capital Management, Yorkville Adviser Global, Voyager Digital and CoinShares Co. Mark graduated with honors from George Washington University Law School where he served as an Editor of the Law Review.
Mark A. Egert has been providing regulatory counseling to financial institutions for over 25 years. On the legal side, he has served as Law Firm Partner at Crowell & Moring, Chief Legal Officer at ABN AMRO and Associate at Shearman & Sterling. As Chief Compliance Officer, Mark has enhanced compliance programs at JPMorgan (where he served as Head of Compliance for Asset Management – Americas), Brown Brothers Harriman, Cowen & Co., RBC Capital Markets, Brevet Capital Management, Yorkville Adviser Global, Voyager Digital and CoinShares Co. Mark graduated with honors from George Washington University Law School where he served as an Editor of the Law Review.
Chris Laws is the Chief Commercial Officer at Rhino Federated Computing, where he is evangelizing federated computing as the best way to unlock siloed data for AI without compromising security or privacy. He leads the scaling of the company’s commercial engine, including marketing, sales, and partnerships. Chris started his career at McKinsey & Company and has gone on to hold leadership positions at the intersection of digital and commercial operations across several industries. Chris has a BA from Boston College and an MBA from the University of Chicago Booth School of Business.
Chris Laws is the Chief Commercial Officer at Rhino Federated Computing, where he is evangelizing federated computing as the best way to unlock siloed data for AI without compromising security or privacy. He leads the scaling of the company’s commercial engine, including marketing, sales, and partnerships. Chris started his career at McKinsey & Company and has gone on to hold leadership positions at the intersection of digital and commercial operations across several industries. Chris has a BA from Boston College and an MBA from the University of Chicago Booth School of Business.
With a career anchored in GRC and AI, Brett specializes in streamlining KYC and AML processes for the world’s largest financial institutions. By leveraging his background in global risk data and process mining, he helps firms automate financial crime detection while optimizing the end-to-end client experience. Having served as the Head of Screening at Thomson Reuters and GM at ComplyAdvantage, Brett now drives operational excellence in Banking for Celonis. The future of FinTech isn’t about acquiring more data – it is already abundant. The real challenge – and Brett's focus – is architecting smarter, faster, and more creative ways to transform that data into the intelligent insights required to protect the global financial system.
With a career anchored in GRC and AI, Brett specializes in streamlining KYC and AML processes for the world’s largest financial institutions. By leveraging his background in global risk data and process mining, he helps firms automate financial crime detection while optimizing the end-to-end client experience. Having served as the Head of Screening at Thomson Reuters and GM at ComplyAdvantage, Brett now drives operational excellence in Banking for Celonis. The future of FinTech isn’t about acquiring more data – it is already abundant. The real challenge – and Brett's focus – is architecting smarter, faster, and more creative ways to transform that data into the intelligent insights required to protect the global financial system.
Nicholas (Nick) Elliott is Head of Communities at Dow Jones Risk and Chair of the WSJ Chief Compliance Officer Council. Previously he had a long career at The Wall Street Journal and Dow Jones as a journalist, moderator, editorial leader and content innovator. Throughout his career he has focused on serving the information needs of professional audiences, both in the corporate and financial markets. In his most recent position at the Journal, he was Head of Professional Products Innovation and Strategy, a role in which he founded WSJ Pro’s cybersecurity newsletter, its cybersecurity and sustainability events, and managed research teams producing premium analysis and proprietary data. Previously he was the founding editor of WSJ Risk & Compliance, which became a must-read in that market and launched the Journal’s long-running series of risk and compliance events.
Nicholas (Nick) Elliott is Head of Communities at Dow Jones Risk and Chair of the WSJ Chief Compliance Officer Council. Previously he had a long career at The Wall Street Journal and Dow Jones as a journalist, moderator, editorial leader and content innovator. Throughout his career he has focused on serving the information needs of professional audiences, both in the corporate and financial markets. In his most recent position at the Journal, he was Head of Professional Products Innovation and Strategy, a role in which he founded WSJ Pro’s cybersecurity newsletter, its cybersecurity and sustainability events, and managed research teams producing premium analysis and proprietary data. Previously he was the founding editor of WSJ Risk & Compliance, which became a must-read in that market and launched the Journal’s long-running series of risk and compliance events.
Peter is the Co-Founder and CEO of Castellum.AI, an all-in-one AI agent and AML/KYC platform. He leads strategy growth and oversees product, working closely with compliance leaders to achieve risk-aligned AML/KYC coverage while removing bottlenecks that slow down compliance operations. Prior to co-founding Castellum.AI, Peter served at the US Treasury Department in multiple roles, including Senior Policy Advisor advising the President, Treasury Secretary and other principals on sanctions, AML and terrorist financing related to Iran, Lebanon and Israel/Palestine. He has also served as a senior compliance executive at a major Korean bank overseeing AML/KYC operations.
Peter is the Co-Founder and CEO of Castellum.AI, an all-in-one AI agent and AML/KYC platform. He leads strategy growth and oversees product, working closely with compliance leaders to achieve risk-aligned AML/KYC coverage while removing bottlenecks that slow down compliance operations. Prior to co-founding Castellum.AI, Peter served at the US Treasury Department in multiple roles, including Senior Policy Advisor advising the President, Treasury Secretary and other principals on sanctions, AML and terrorist financing related to Iran, Lebanon and Israel/Palestine. He has also served as a senior compliance executive at a major Korean bank overseeing AML/KYC operations.
Harsh brings a wealth of experience to regulatory compliance and risk management as the VP of Product at Saifr, a RegTech incubated by Fidelity Labs. With a strong academic and applied foundation in political economy and data science, Harsh has made significant strides in machine learning (ML) algorithms and AI platforms tailored for national security and financial regulatory compliance.
Previously, Harsh was President at Giant Oak Inc., where he grew the company’s government and financial services portfolios. Harsh's advice is regularly sought by industry stakeholders, US government agencies, and global regulators to decode and interpret data science products, ML technologies, and AI.
Harsh is passionate about education and mentorship, teaching graduate courses on data science and political economy, and serving as Co-Director of Youth Activities for BAPS North America.
Harsh earned an MA in Politics from NYU, an MA in Security Studies from Georgetown University, and was a doctoral student at NYU in Politics.
Harsh brings a wealth of experience to regulatory compliance and risk management as the VP of Product at Saifr, a RegTech incubated by Fidelity Labs. With a strong academic and applied foundation in political economy and data science, Harsh has made significant strides in machine learning (ML) algorithms and AI platforms tailored for national security and financial regulatory compliance.
Previously, Harsh was President at Giant Oak Inc., where he grew the company’s government and financial services portfolios. Harsh's advice is regularly sought by industry stakeholders, US government agencies, and global regulators to decode and interpret data science products, ML technologies, and AI.
Harsh is passionate about education and mentorship, teaching graduate courses on data science and political economy, and serving as Co-Director of Youth Activities for BAPS North America.
Harsh earned an MA in Politics from NYU, an MA in Security Studies from Georgetown University, and was a doctoral student at NYU in Politics.
Kevin T. Medina is the Global Chief Compliance Officer responsible for overseeing Värde’s global compliance and audit functions. Based in New York, he joined the firm in 2023. Prior to joining Värde, Kevin served as Deputy Chief Compliance Officer of Apogem Capital LLC. Prior to that, Kevin was Chief Compliance Officer of GoldPoint Partners and Madison Capital Funding LLC and held senior compliance roles at SPARX Group Co. Ltd., Allianz Dresdner Asset Management, and Zurich Scudder Investments. Kevin received a B.A in Political Science from Syracuse University and a J.D. from the State University of New York at Buffalo School of Law.
Kevin T. Medina is the Global Chief Compliance Officer responsible for overseeing Värde’s global compliance and audit functions. Based in New York, he joined the firm in 2023. Prior to joining Värde, Kevin served as Deputy Chief Compliance Officer of Apogem Capital LLC. Prior to that, Kevin was Chief Compliance Officer of GoldPoint Partners and Madison Capital Funding LLC and held senior compliance roles at SPARX Group Co. Ltd., Allianz Dresdner Asset Management, and Zurich Scudder Investments. Kevin received a B.A in Political Science from Syracuse University and a J.D. from the State University of New York at Buffalo School of Law.
Arpita is a Certified Antimoney Laundering Specialist and Scrum Master with 15 years of experience helping companies develop their AML written programs, customer risk rating models, KYC/CDD programs, Enhanced Due Diligence documentation and training, transaction monitoring systems, tuning and optimizations, and more. She is currently the Chief Compliance Officer at Sporttrade where she developed the AML and Responsible Gaming program to launch into multiple states. She also works with state regulators to expand Sporttrade into more jurisdictions. Currently, she is a Co-Chair for ACAMS Greater Philadelphia Chapter and on the Board for the Drexel University Accounting Advisory Council.
Arpita is a Certified Antimoney Laundering Specialist and Scrum Master with 15 years of experience helping companies develop their AML written programs, customer risk rating models, KYC/CDD programs, Enhanced Due Diligence documentation and training, transaction monitoring systems, tuning and optimizations, and more. She is currently the Chief Compliance Officer at Sporttrade where she developed the AML and Responsible Gaming program to launch into multiple states. She also works with state regulators to expand Sporttrade into more jurisdictions. Currently, she is a Co-Chair for ACAMS Greater Philadelphia Chapter and on the Board for the Drexel University Accounting Advisory Council.
Jeremy Brayman is the Director of Global Sanctions at Charles Schwab, where he oversees all sanctions strategy, policy, governance, and technology. Jeremy was previously a principal at Palantir Technologies, where he led the company’s efforts in the illicit finance space. Prior to that, Jeremy served for over a decade at the U.S. Treasury Department, where he held leadership positions within the department’s Office of Terrorism and Financial Intelligence. Jeremy received his bachelor’s degree in International Relations and German from Tufts University, and his master’s degree in Security Policy Studies from The George Washington University.
Jeremy Brayman is the Director of Global Sanctions at Charles Schwab, where he oversees all sanctions strategy, policy, governance, and technology. Jeremy was previously a principal at Palantir Technologies, where he led the company’s efforts in the illicit finance space. Prior to that, Jeremy served for over a decade at the U.S. Treasury Department, where he held leadership positions within the department’s Office of Terrorism and Financial Intelligence. Jeremy received his bachelor’s degree in International Relations and German from Tufts University, and his master’s degree in Security Policy Studies from The George Washington University.
Sabrina Chen is a Financial Crime executive with experience across AML, Fraud and Risk Analytics. She is currently the Head of Global AML Customer Risk at Citi and also the Senior Data Science Lead with focus on AML modernization. Prior to Citi, she spent 6+ years as a Financial crime risk consultant at PwC, KPMG and AlixPartners.
Sabrina Chen is a Financial Crime executive with experience across AML, Fraud and Risk Analytics. She is currently the Head of Global AML Customer Risk at Citi and also the Senior Data Science Lead with focus on AML modernization. Prior to Citi, she spent 6+ years as a Financial crime risk consultant at PwC, KPMG and AlixPartners.
Weiyee In, while a native of New York City, has spent the large majority of his professional career as an expatriate working for several of the largest multinational banks globally across London, Paris, Hong Kong, Taiwan and Southeast Asia. Mr. In currently serves as CIO of Protego Trust Bank, a chartered financial institution focused on digital asset custody, trading issuance needs of institutional investors. Additionally, his experience spans more than two decades as a publishing Wall Street technology analyst, Sustainability Strategist (Environmental Social Governance), TMT equities strategist, Head of Telecoms, Media and Technology Equity Research and Director of Equity Research across multiple banks including UBS and BNP Paribas. Mr. In has been an angel investor across FinTech, CNN, New Media, AI, Data Analytics, developing regulatory advisory and solutions development using NLP, AI, LLM, RPA, iML for MiFID II, GDPR/PII, FATF/GAFI (AML, KYC, CTF), BSA, Sapin II, PEP, UBO, SOE, MSOE; advisor for financial custody and trust, DLT integration and trade analytics. He has been both an angel investor and advisor to technology startups across Asia and Europe in semiconductor design, robotic automation in industrial workflow (software and hardware), data analytics and machine learning for industrial production.
Weiyee In, while a native of New York City, has spent the large majority of his professional career as an expatriate working for several of the largest multinational banks globally across London, Paris, Hong Kong, Taiwan and Southeast Asia. Mr. In currently serves as CIO of Protego Trust Bank, a chartered financial institution focused on digital asset custody, trading issuance needs of institutional investors. Additionally, his experience spans more than two decades as a publishing Wall Street technology analyst, Sustainability Strategist (Environmental Social Governance), TMT equities strategist, Head of Telecoms, Media and Technology Equity Research and Director of Equity Research across multiple banks including UBS and BNP Paribas. Mr. In has been an angel investor across FinTech, CNN, New Media, AI, Data Analytics, developing regulatory advisory and solutions development using NLP, AI, LLM, RPA, iML for MiFID II, GDPR/PII, FATF/GAFI (AML, KYC, CTF), BSA, Sapin II, PEP, UBO, SOE, MSOE; advisor for financial custody and trust, DLT integration and trade analytics. He has been both an angel investor and advisor to technology startups across Asia and Europe in semiconductor design, robotic automation in industrial workflow (software and hardware), data analytics and machine learning for industrial production.
Anthony spent the first part of his career at HSBC, during which he was based in London from 2014-16, then in Hong Kong from 2016-18 and Shanghai in 2018-22. At HSBC Anthony undertook a variety of financial anti-crime roles, including the Head of Wholesale Banking Financial Crime Compliance for HSBC China. Currently Anthony is based in Amsterdam where he is Team Lead, AML and Screening Investigations at Adyen. In this role Anthony has placed a strong emphasis on coaching, creating workshops such as ‘16 Investigative Techniques’ to bolster Adyen's capabilities in combating financial crime risk. Anthony is enormously passionate about contributing to the broader industry's efforts to counter money laundering and associated predicate crimes. He holds a particular interest in countering human trafficking.
Anthony spent the first part of his career at HSBC, during which he was based in London from 2014-16, then in Hong Kong from 2016-18 and Shanghai in 2018-22. At HSBC Anthony undertook a variety of financial anti-crime roles, including the Head of Wholesale Banking Financial Crime Compliance for HSBC China. Currently Anthony is based in Amsterdam where he is Team Lead, AML and Screening Investigations at Adyen. In this role Anthony has placed a strong emphasis on coaching, creating workshops such as ‘16 Investigative Techniques’ to bolster Adyen's capabilities in combating financial crime risk. Anthony is enormously passionate about contributing to the broader industry's efforts to counter money laundering and associated predicate crimes. He holds a particular interest in countering human trafficking.
Jonathan Fishner is FanDuel’s Senior Director of Financial Crimes Compliance and is responsible for managing the company’s AML and Sanctions programs. Prior to joining FanDuel in 2020, he developed and ran the Financial Crimes Compliance Issues Management program at a leading international bank. Before moving into compliance, Jonathan spent eight years as an attorney representing financial institutions in securities enforcement investigations.
Jonathan Fishner is FanDuel’s Senior Director of Financial Crimes Compliance and is responsible for managing the company’s AML and Sanctions programs. Prior to joining FanDuel in 2020, he developed and ran the Financial Crimes Compliance Issues Management program at a leading international bank. Before moving into compliance, Jonathan spent eight years as an attorney representing financial institutions in securities enforcement investigations.
Shakthi Ganesan founded the Crypto Investigations team at Robinhood Markets and has led it since 2021. Prior to Robinhood Markets, Shakthi led compliance operations and risk assessment engagements for Fortune 100 technology clients and a variety of global financial institutions as part of PwC’s Financial Crimes Unit, and he has also held multiple roles within Standard Chartered Bank’s Financial Crimes Intelligence Unit. Shakthi holds his bachelor’s degree in finance, management, and social entrepreneurship from New York University’s Stern School of Business.
Shakthi Ganesan founded the Crypto Investigations team at Robinhood Markets and has led it since 2021. Prior to Robinhood Markets, Shakthi led compliance operations and risk assessment engagements for Fortune 100 technology clients and a variety of global financial institutions as part of PwC’s Financial Crimes Unit, and he has also held multiple roles within Standard Chartered Bank’s Financial Crimes Intelligence Unit. Shakthi holds his bachelor’s degree in finance, management, and social entrepreneurship from New York University’s Stern School of Business.
Nathan Weger is the Compliance Officer for Omni Bridgeway, a leading global litigation financing firm. Nathan is responsible for oversight, development, and maintenance of Omni’s compliance program, managing its implementation across multiple markets and advising the business of regulatory developments specific to the industry. Nathan has 12 years of compliance experience, previously working for UBS Wealth Management and Exencial Wealth Advisors (RIA).
Nathan Weger is the Compliance Officer for Omni Bridgeway, a leading global litigation financing firm. Nathan is responsible for oversight, development, and maintenance of Omni’s compliance program, managing its implementation across multiple markets and advising the business of regulatory developments specific to the industry. Nathan has 12 years of compliance experience, previously working for UBS Wealth Management and Exencial Wealth Advisors (RIA).
Joel is currently Chief Compliance Officer, North America for Campbell Lutyens, a global private equity advisory firm. Directly prior to this role, he was Head of Compliance, Investment Banking for Berenberg Capital Markets LLC, advising on compliance, legal, operations, and finance for investment banking, research, and equity trading. Previously, he worked for Skandinaviska Enskilda Banken AB and Fidelity Investments. He graduated from Florida State University with a Bachelor of Science in Economics and Bachelor of Arts in International Affairs and earned his law degree from New York Law School. He holds the ACAMS Certified Anti-Money Laundering Specialist (CAMS) and FINRA Certified Regulatory and Compliance Professional (CRCP) certifications.
Joel is currently Chief Compliance Officer, North America for Campbell Lutyens, a global private equity advisory firm. Directly prior to this role, he was Head of Compliance, Investment Banking for Berenberg Capital Markets LLC, advising on compliance, legal, operations, and finance for investment banking, research, and equity trading. Previously, he worked for Skandinaviska Enskilda Banken AB and Fidelity Investments. He graduated from Florida State University with a Bachelor of Science in Economics and Bachelor of Arts in International Affairs and earned his law degree from New York Law School. He holds the ACAMS Certified Anti-Money Laundering Specialist (CAMS) and FINRA Certified Regulatory and Compliance Professional (CRCP) certifications.
Tracy Moore is the Director of Thought Leadership and Regulatory Affairs at Fenergo, the global leader in Client Lifecycle Management (CLM) technology for financial institutions. With over 25 years of experience in investment banking, specializing in Legal, Compliance, and Client Onboarding, Tracy is a recognized expert in financial crime risk management, regulatory change, and digital transformation. A passionate leader and industry influencer, she is dedicated to driving innovation and technological advancements that enhance operational efficiency and compliance outcomes. Tracy regularly collaborates with global regulators, financial institutions, and technology providers to shape the future of KYC, AML, and financial crime compliance.
Tracy Moore is the Director of Thought Leadership and Regulatory Affairs at Fenergo, the global leader in Client Lifecycle Management (CLM) technology for financial institutions. With over 25 years of experience in investment banking, specializing in Legal, Compliance, and Client Onboarding, Tracy is a recognized expert in financial crime risk management, regulatory change, and digital transformation. A passionate leader and industry influencer, she is dedicated to driving innovation and technological advancements that enhance operational efficiency and compliance outcomes. Tracy regularly collaborates with global regulators, financial institutions, and technology providers to shape the future of KYC, AML, and financial crime compliance.
Matteo is an investment banker and corporate finance professional with extensive expertise in M&A, capital markets, and financial strategy. Currently an Investment Banking Director at Bank of America Securities, Matteo advises fintech and software clients on strategic transactions, focusing primarily on middle-market and growth-stage companies across GRC, RegTech, and Fraud Prevention. During his career, Matteo also led corporate development and FP&A teams at Fitch Solutions, a division of Fitch Group, driving acquisition initiatives and strategic finance. A former naval officer, Matteo holds an MBA from Wharton and degrees in Defense and Security Sciences from the Italian Naval Academy. He is also an active angel investor in early-stage startups.
Matteo is an investment banker and corporate finance professional with extensive expertise in M&A, capital markets, and financial strategy. Currently an Investment Banking Director at Bank of America Securities, Matteo advises fintech and software clients on strategic transactions, focusing primarily on middle-market and growth-stage companies across GRC, RegTech, and Fraud Prevention. During his career, Matteo also led corporate development and FP&A teams at Fitch Solutions, a division of Fitch Group, driving acquisition initiatives and strategic finance. A former naval officer, Matteo holds an MBA from Wharton and degrees in Defense and Security Sciences from the Italian Naval Academy. He is also an active angel investor in early-stage startups.
Nick Elliott is head of communities at Dow Jones Risk and Research, which combines Dow Jones Risk and Compliance and Factiva. Previously he had a long career at The Wall Street Journal and Dow Jones as a journalist, moderator, editorial leader and content innovator. Throughout his career he has focused on serving the information needs of professional audiences, both in the corporate and financial markets. In his most recent position at the Journal he was head of professional products innovation and strategy, a role in which he founded WSJ Pro’s cybersecurity newsletter, its cybersecurity and sustainability events and managed research teams producing premium analysis and proprietary data. Previously he was the founding editor of WSJ Risk and Compliance, which became a must-read in that market, and launched the Journal’s long-running series of risk and compliance events. He held previous roles as managing editor of commodities and futures at Dow Jones Newswires, European capital markets editor and as a reporter covering European bonds and monetary policy. He holds a degree in economics from the University of York, U.K.
Nick Elliott is head of communities at Dow Jones Risk and Research, which combines Dow Jones Risk and Compliance and Factiva. Previously he had a long career at The Wall Street Journal and Dow Jones as a journalist, moderator, editorial leader and content innovator. Throughout his career he has focused on serving the information needs of professional audiences, both in the corporate and financial markets. In his most recent position at the Journal he was head of professional products innovation and strategy, a role in which he founded WSJ Pro’s cybersecurity newsletter, its cybersecurity and sustainability events and managed research teams producing premium analysis and proprietary data. Previously he was the founding editor of WSJ Risk and Compliance, which became a must-read in that market, and launched the Journal’s long-running series of risk and compliance events. He held previous roles as managing editor of commodities and futures at Dow Jones Newswires, European capital markets editor and as a reporter covering European bonds and monetary policy. He holds a degree in economics from the University of York, U.K.
Michael has extensive compliance and legal experience in both Fintech / Crypto and TradFi having prior senior crypto roles at Coinbase, BNY Mellon and CEX.io and senior TradFi roles at JP Morgan, Goldman Sachs, Sumitomo Mitsui Banking Corporation, BNP Paribas and Bank of America. Michael has extensive experience with AML and is certified in blockchain analysis. Michael has extensive regulatory experience and was a SIFMA Committee Chairman.
Michael has extensive compliance and legal experience in both Fintech / Crypto and TradFi having prior senior crypto roles at Coinbase, BNY Mellon and CEX.io and senior TradFi roles at JP Morgan, Goldman Sachs, Sumitomo Mitsui Banking Corporation, BNP Paribas and Bank of America. Michael has extensive experience with AML and is certified in blockchain analysis. Michael has extensive regulatory experience and was a SIFMA Committee Chairman.
With over 12 years of dedicated experience in BSA/AML and anti-financial crimes, Elizabeth Owen currently serves as the Senior Vice President overseeing the Financial Intelligence Unit at Berkshire Bank. Elizabeth specializes in managing high-risk customer portfolios at financial institutions and has first-hand knowledge of implementing strategic solutions for complex regulatory environments, including Cannabis, Crypto, and FinTech sectors. Known for her passion for training and mentorship, she is committed to empowering the next generation of anti-financial crime professionals and enhancing internal stakeholder engagement. Elizabeth holds a Bachelor’s Degree in Political Science and a Master’s Degree in Criminal Justice, equipping her with a robust foundation to tackle the evolving challenges of financial crime. Her leadership and expertise continue to drive innovative approaches to risk assessment and compliance in today’s dynamic financial landscape.
With over 12 years of dedicated experience in BSA/AML and anti-financial crimes, Elizabeth Owen currently serves as the Senior Vice President overseeing the Financial Intelligence Unit at Berkshire Bank. Elizabeth specializes in managing high-risk customer portfolios at financial institutions and has first-hand knowledge of implementing strategic solutions for complex regulatory environments, including Cannabis, Crypto, and FinTech sectors. Known for her passion for training and mentorship, she is committed to empowering the next generation of anti-financial crime professionals and enhancing internal stakeholder engagement. Elizabeth holds a Bachelor’s Degree in Political Science and a Master’s Degree in Criminal Justice, equipping her with a robust foundation to tackle the evolving challenges of financial crime. Her leadership and expertise continue to drive innovative approaches to risk assessment and compliance in today’s dynamic financial landscape.
Phil Smallman oversees all Financial Crime Compliance (FCC) transaction monitoring processes and TM-alert generated automated case investigations including SAR filing for the US correspondent banking, financial markets and trade finance businesses. Phil is a recognized subject matter expert in the AML field. He has over 15 years of experience in the financial industry and prior to joining Standard Chartered held various FCC management roles, including Head of Compliance at Bank ABC NY Branch and Head of FIU, RBS M&IB Americas. Phil holds a BA in Philosophy from Fordham University.
Phil Smallman oversees all Financial Crime Compliance (FCC) transaction monitoring processes and TM-alert generated automated case investigations including SAR filing for the US correspondent banking, financial markets and trade finance businesses. Phil is a recognized subject matter expert in the AML field. He has over 15 years of experience in the financial industry and prior to joining Standard Chartered held various FCC management roles, including Head of Compliance at Bank ABC NY Branch and Head of FIU, RBS M&IB Americas. Phil holds a BA in Philosophy from Fordham University.
Mubashir is a passionate, driven Financial Crime Compliance leader with over 20 years of experience in driving regulatory compliance, financial crime, and corporate training strategies for global organizations. Throughout his career, Mubashir has worked for major institutions, including HSBC, Société Générale, Saudi Aramco and Santander in London, Paris and New York. At HSBC, as a consultant with the International Compliance Association (ICA), he played a crucial role in designing and delivering AML and sanctions training to over 30 countries in the aftermath of HSBC’s Deferred Prosecution Agreement (DPA) and historic $1.9 billion money laundering fine in 2012. At Société Générale, he served as the Head of Compliance Training, overseeing the development and execution of training programs across multiple jurisdictions. At Santander, he was Head of Financial Crime Training and Awareness, responsible for delivering targeted, risk based financial crime training to all staff across the Corporate and Investment Bank and supported in the establishment of the Financial Crime Center of Excellence (COE). He is a published author; his book Double Standards critically examines the evolution of financial regulation and its role in combating financial crime, with a particular focus on the forced closure of the Bank of Credit & Commerce International (BCCI) in 1991. The book highlights key parallels between historical financial scandals and modern banking failures, offering insights into systemic regulatory weaknesses and enforcement inconsistencies—issues that remain highly relevant in the post-HSBC DPA era. A highly sought-after speaker and author, Mubashir has addressed global audiences at major forums, including the London School of Economics (LSE) and high-profile financial crime summits. His thought leadership extends to financial regulation, corporate ethics, and the intersection of AI and compliance and ESG. In 2011, he was invited by HRH Princess Lulwa Al Faisal of Saudi Arabia to chair and moderate a forum on women's empowerment. Currently serving as the Head of Governance, Risk and Compliance (GRC) Training and Communications for the largest giga-project in Saudi Arabia, Mubashir leads efforts to enhance governance, risk, and compliance (GRC) awareness at an unprecedented scale. He is also the Head of the GRC Academy, overseeing training initiatives that drive compliance culture transformation and change management across multiple sectors.
Mubashir is a passionate, driven Financial Crime Compliance leader with over 20 years of experience in driving regulatory compliance, financial crime, and corporate training strategies for global organizations. Throughout his career, Mubashir has worked for major institutions, including HSBC, Société Générale, Saudi Aramco and Santander in London, Paris and New York. At HSBC, as a consultant with the International Compliance Association (ICA), he played a crucial role in designing and delivering AML and sanctions training to over 30 countries in the aftermath of HSBC’s Deferred Prosecution Agreement (DPA) and historic $1.9 billion money laundering fine in 2012. At Société Générale, he served as the Head of Compliance Training, overseeing the development and execution of training programs across multiple jurisdictions. At Santander, he was Head of Financial Crime Training and Awareness, responsible for delivering targeted, risk based financial crime training to all staff across the Corporate and Investment Bank and supported in the establishment of the Financial Crime Center of Excellence (COE). He is a published author; his book Double Standards critically examines the evolution of financial regulation and its role in combating financial crime, with a particular focus on the forced closure of the Bank of Credit & Commerce International (BCCI) in 1991. The book highlights key parallels between historical financial scandals and modern banking failures, offering insights into systemic regulatory weaknesses and enforcement inconsistencies—issues that remain highly relevant in the post-HSBC DPA era. A highly sought-after speaker and author, Mubashir has addressed global audiences at major forums, including the London School of Economics (LSE) and high-profile financial crime summits. His thought leadership extends to financial regulation, corporate ethics, and the intersection of AI and compliance and ESG. In 2011, he was invited by HRH Princess Lulwa Al Faisal of Saudi Arabia to chair and moderate a forum on women's empowerment. Currently serving as the Head of Governance, Risk and Compliance (GRC) Training and Communications for the largest giga-project in Saudi Arabia, Mubashir leads efforts to enhance governance, risk, and compliance (GRC) awareness at an unprecedented scale. He is also the Head of the GRC Academy, overseeing training initiatives that drive compliance culture transformation and change management across multiple sectors.
Terry has over two decades of experience in financial technology holding senior roles at SunGard, Charles River Development, SimCorp and Alpha FMC. At Fenergo, the industry-defining provider for all elements of client lifecycle management, including KYC, AML and transaction monitoring, Terry leads the asset management and insurance vertical, helping buyside clients design their target operating model for their investor lifecycle and experience.
Terry has over two decades of experience in financial technology holding senior roles at SunGard, Charles River Development, SimCorp and Alpha FMC. At Fenergo, the industry-defining provider for all elements of client lifecycle management, including KYC, AML and transaction monitoring, Terry leads the asset management and insurance vertical, helping buyside clients design their target operating model for their investor lifecycle and experience.
