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
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Anti-Money Laundering - Dealers in Precious Metals, Stones, or Jewels
President & Founder, AML Audit Services, LLC
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Develop a written risk assessment.
Develop and maintain effective, risk-based AML policies and procedures approved by senior management and/or the board of directors.
Monitor transactions to ensure regulatory reporting requirements are met and to identify any suspicious activity.
Provide training to personnel with access to transactions, customers, compliance operations or activity that may be exploited by criminals.
Independent testing by a qualified professional is required for precious gems dealers on a periodic basis.
Appoint an experienced and knowledgeable AML compliance officer.
Ensure accuracy and timely reporting for Form 8300.
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Anti-Money Laundering - Dealers in Precious Metals, Stones, or Jewels:
Best Practices
Expert Topic