BSA/AML Enforcement Actions: the Year in Review and Lessons Learned

Please join Hunton & Williams and the Richmond Chapter of the Association of Certified Anti-Money Laundering Specialists (ACAMS) for an event

BSA/AML Enforcement Actions: the Year in Review and Lessons Learned

Panel Discussion and Reception

Thursday, December 4, 2014
3:30pm – 6:30pm

Hunton & Williams LLP

951 East Byrd Street

Richmond, VA 23219

The program will include a panel discussion of recent enforcement actions under the Bank Secrecy Act and underlying AML compliance issues. Cocktail reception to follow.

Meet Our Panelists:

IVAN GARCES, CPA, CFE, CFF, CAMS

Principal, Risk Advisory Services Practice Leader

Kaufman, Rossin & Co., P.A.

Ivan’s practice focuses on investigative and forensic accounting services, specializing in internal corporate investigations, money laundering and regulatory compliance matters. He has extensive experience in BSA/AML, USA PATRIOT Act, Office of Foreign Assets Control (OFAC), Foreign Corrupt Practices Act (FCPA) and internal corporate investigations and compliance matters.

ELSA DE LA GARZA, CAMS, CFE, CRCM

Bank Examiner, Office of the Comptroller of the Currency

Elsa is a bank examiner with the OCC and specializes in BSA/AML examinations and consumer compliance. She previously served as a Compliance Specialist at FinCEN, a Bank Relations Specialist for the United States Postal Service and in-house Compliance Officer for Laredo National Bank. She has over 36 years of experience in the banking industry.

Elsa was a key examiner identifying the BSA deficiencies at HSBC. She is currently part of the resident team at Capital One responsible for ensuring compliance with BSA/AML and OFAC laws and regulations.

Elsa has a Masters in International Banking and Bachelors in Finance from Texas A&M International University.

BRYANT (“BJ”) MORAVEK

Financial Crimes Consultant, Ronin Resources Group

President, Centurion Services

BJ Moravek is a designed BSA expert and currently a consultant with Ronin Resources Group. He previously served as a Senior Special Agent with FinCEN and was one of the primary investigators for the largest settlement. Prior to FinCEN, BJ was a Special Agent for the United Secret Service for over 20 years where he worked complex financial crimes and money laundering investigations. His service for the government included serving as a Senior Adviser to Senator Alfonse D’Amato, Chairman of the Senate Banking Committee. He has also served in various capacities at large global financial institutions, including Chief AML / OFAC Sanctions Officer, and has developed, implemented and maintained numerous BSA/AML compliance programs.

ELAINE R. YANCEY, MBA, CAMS

Managing Examiner, The Federal Reserve Bank of Richmond

Elaine is currently a supervisory examiner in the safety and soundness division of Banking Supervision and Regulation of the Federal Reserve, with responsibility for the Legal and Fiduciary Risk unit. She works with BSA/AML legislation, bank fraud, and fiduciary/trust issues. She is a regulatory advisor to the BSA Coalition, a group of financial institution and banking agency regulatory representatives dedicated to the developing a dialogue to identify and resolve issues affecting BSA/AML professionals.

Panel Moderated by Laura Colombell Marshall, Partner at Hunton & Williams LLP.

Applications for 1.5 hours of CAMS credit and 1.5 hours of Virginia CLE credit pending.

Credit not guaranteed.

Questions? Please contact Shannon Macey by email or 804.788.8392.