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 - Broker-Dealers
President & Founder, AML Audit Services, LLC
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Produce a written AML risk assessment.
Develop and maintain effective, risk-based AML policies, procedures and internal controls.
Monitor transactions across all products and services 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.
Know your reliance relationships.
Independent testing by a qualified professional is required for broker-dealers on an annual basis.
Conduct periodic self-testing to evaluate adequacy of AML controls.
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Anti-Money Laundering - Broker-Dealers:
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