Meet the Expert
Laura Goldzung
President & Founder, AML Audit Services, LLC
- 30 years of financial industry experience including AML compliance and training, securities firm operations and management
- 15 years of AML compliance advisory and education experience in the financial services industry
- Directed Securities Industry Institute at the Wharton School, University of Pennsylvania and other SIFMA training for member firms
- Faculty for Certified Compliance Regulatory Professional (CCRP) at Lubin School of Business, Pace University, ACAMS CAMS-Audit Certification, IMTC Compliance Certification Course, and ComplianceOnline
- Industry arbitrator for FINRA
Meeting Packages from $400
Your Meeting Package Includes:
- All 7 Best Practices
- Pre-Meeting Discovery Process
- One-on-One Call with Expert
- Meeting Summary Report
- Post-Meeting Engagement
Anti-Money Laundering - Broker-Dealers
President & Founder, AML Audit Services, LLC
Resources
- AML Audit Services, LLC
- AML: a Primer for Broker-Dealers, by Laura Goldzung
- FFIEC - Nondeposit Investment Products
- Financial Industry Regulatory Authority, Inc. (FINRA) Anti-Money Laundering
- Securities & Exchange Commission (SEC) AML Source Tool for Broker-Dealers
Anti-Money Laundering - Broker-Dealers:
Resources
Expert Topic