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 - Non-Bank Residential Mortgage Lenders and Originators (RMLO)
President & Founder, AML Audit Services, LLC
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Develop a written risk assessment.
Develop a risk-based AML compliance program of policies, procedures and internal controls tailored to the RMLO.
Monitor transactions across all products and services to meet regulatory requirements and identify suspicious activity.
Provide training to personnel with access to transactions, customers, compliance operations or activity that may be exploited by criminals.
Conduct independent testing by a qualified professional, as required for RMLOs on a periodic basis.
Ensure accuracy and timely reporting for Form 8300 and Suspicious Activity Reports (SARs).
Know your reliance relationships.
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Best practices today.
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Anti-Money Laundering - Non-Bank Residential Mortgage Lenders and Originators (RMLO):
Best Practices
Expert Topic