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Anti-Money Laundering Due Diligence and Compliance 2017: What Lawyer, Accountants, and other Professional Service Providers Need to Know

Speaker(s): Janice Durisin, Jeffrey B. Schenk, Michael Fesko, Mikhail Reider-Gordon, CAMS, Patrick D. Robbins, W. Hardy Callcott
Recorded on: Jun. 5, 2017
PLI Program #: 194001

Jeff Schenk has been an Assistant United States Attorney in the Northern District of California for ten years.  He currently serves as Senior Litigation Counsel for the Office.  His practice focuses on white-collar prosecutions.  Before moving to Northern California, Jeff served as a Special Assistant United States Attorney in San Diego.

Jeff has tried eleven cases to verdict as a federal prosecutor, including tax evasion, money laundering, and other financial fraud. In 2016, Jeff tried U.S. v. Pacific Gas & Electric Co., a prosecution resulting from PG&E’s fatal natural gas pipeline explosion in San Bruno, California.

Jeff received his B.A. from the University of Michigan in 2001.  He received his J.D. in 2004 from Boston University School of Law, where he served as Note Editor of the International Law Journal.

Ms. Reider-Gordon is a Director in the Los Angeles office of Navigant where her practice focuses on white-collar crime investigations, compliance with federal and state law and regulations, and international law. She holds deep expertise in conducting complex financial crime matters, the Foreign Corrupt Practices Act (FCPA) and the global anti-corruption regime, directing investigations, and building compliance programs for her clients.  With 20+ years of experience, Mikhail brings her skills to bear on regulatory, political and cultural challenges where the intersection of transnational financial crimes, corruption, money-laundering, IP theft, and cybercrime collide with corporate and institutional ethics and compliance, risk and responsibility and corporate social responsibility.  She is particularly adept at leading multinational teams and building and directing cross-border operations.

She has conducted special investigations, developed compliance programs, and provided adjunct services to general counsel for many of her Fortune 500 corporate clients, municipalities, government agencies, as well as on behalf of ultra-high-net worth individuals. She is accustomed to working on extremely sensitive, and high profile matters, both nationally and globally, and has successfully helped clients, including those in the media & entertainment, technology, life sciences, and public sectors, resolve high-stakes criminal and civil matters. She has conducted in excess of 100 financial investigations on behalf of her clients including money laundering, fraud, public and private corruption, organized crime, economic espionage and theft of trade secrets, allegations of conflict of interest involving executive management and board members, national and international embezzlements, and trafficking.

Ms. Gordon’s professional career has included working in intelligence, assigned to agencies within the U.S. Department of Justice and overseas where she focused on anti-money laundering and transnational criminal enterprises; the RAND Corporation on various government agency-sponsored projects, and directing anti-piracy investigations for the Motion Picture Association of America (MPAA).  She also served with the California Supreme Court, Office of Chief Trial Counsel for the Bar Association, investigating and disciplining attorneys.

Mikhail holds leadership positions with the American Bar Association. She is a Council member and currently serving as the Deputy Finance Officer within the ABA's Section of International Law, where she formerly served as the Chair of the Public International Law (Treaty 1) Division. She also serves as the Senior Advisor to the International Anti-Corruption Committee, of which she is the former Co-chair. She served in 2015-2016 at the Chair of the greater ABA’s Task Force on Gatekeeper Regulation and the Profession; and from 2013-2014, she directed the global Defense Bar consultative review for the World Bank’s Sanctions System Review.

Ms. Gordon is a frequent lecturer on anti-bribery and corruption, anti-money laundering, IP protection and other white-collar crimes.  Since 2015, she has served as a Visiting Professor at the International Anti-Corruption Academy (IACA), where she teaches Anti-Corruption Compliance & Investigations.  She was an adjunct professor at Thomas Jefferson School of Law, where she taught Financial Crimes and International Security from 2012-2013.  She has been an instructor or speaker for the U.S. Dept. of Justice, over 75 law enforcement agencies around the world, NGO's, 30+ legal and corporate conferences and many others organizations. Her published articles have appeared in The International Lawyer, Litigation, Southwestern Journal of Law, and Hofstra Journal of Law, amongst others. Ms. Gordon also serves on the United Nations Office on Drugs and Crime (UNODC) Anti-Corruption Academic Initiative (ACAD), collaborating to develop a comprehensive set of resources on corruption and corruption-related issues for law schools and universities. Ms. Gordon is a Certified Anti-Money Laundering Specialist (CAMS) as well as a Certified Financial Crimes Investigator (CFCI).

HARDY CALLCOTT’s practice concentrates on enforcement defense and regulatory counseling concerning securities market and regulatory issues for broker-dealers, investment advisers, registered and private funds and others in the financial services industry. He provides securities enforcement defense before the SEC, Department of Justice, FINRA, and other SRO and state regulators for members of financial services industry, public companies, and officers and directors. He also conducts internal investigations.

Hardy was ranked nationally in Chambers USA for Securities Financial Services Regulation 2008-2016, was included in the Best Lawyers in America 2007-2012 and 2014-2016 lists, and was Best Lawyers San Francisco “Lawyer of the Year” in Securities Regulation by 2015 and 2017, all chosen based on peer-reviewed surveys of U.S. lawyers. He was with Charles Schwab & Co. Inc., as senior vice president and general counsel. He served in the General Counsel’s Office of the SEC as assistant general counsel for Market Regulation (now Trading and Markets), and taught in the Securities LLM program at Georgetown University Law Center. After law school, Hardy clerked for the Hon. Mariana Pfaelzer in the U.S. District Court for the Central District of California.  Additionally, Hardy is the immediate past Chair of the SEC Historical Society.

Patrick Robbins is a partner in the San Francisco office of Shearman & Sterling LLP, where he specializes in criminal and enforcement matters involving accounting and securities fraud, criminal price fixing, the Foreign Corrupt Practices Act, money laundering and other federal crimes.  Patrick was an Assistant U.S. Attorney in the Northern District for ten years, where he prosecuted and supervised a variety of corporate fraud, organized crime, narcotics and violent crime cases.  He was Pacific Regional Coordinator for the Organized Crime Drug Enforcement Task Force, Chief of the Securities Fraud Unit, and led the Department’s investigation of criminal manipulation of the California energy markets by Enron and others.

After graduating from law school, Patrick was a law clerk to Chief Judge Aubrey E. Robinson, of the U.S. District Court for the District of Columbia.

Janice is a Senior Manager in the Anti-Money Laundering Consulting practice of Deloitte Transactions and Business Analytics LLP. Janice specializes in projects addressing anti- money laundering and sanctions in the financial services industry.

Prior to joining Deloitte’s Anti-Money Laundering Consulting Practice, Janice worked for the Financial Industry Regulatory Authority (FINRA, legacy NASD) for over 12 years. While employed with FINRA, Janice held a variety of positions, including Supervisor of Examiners and Principal Examiner.  While employed with FINRA, Janice conducted and managed examinations of broker/dealers, including financial, operational, anti-money laundering, OFAC, insider trading controls, supervisory controls and sales practice examinations.

Janice’s responsibilities with Deloitte have included conducting gap assessments of anti- money laundering and sanctions compliance programs and assisting clients in addressing identified gaps. Janice’s responsibilities with Deloitte have included developing KYC processes and procedures, creating KYC standards, and developing customer risk rating methodologies for clients. Janice’s responsibilities have also included developing transaction monitoring processes and procedures, developing testing procedures for Internal Audit and compliance testing programs, and conducting independent testing of anti-money laundering and OFAC compliance programs.

Janice has assisted banks, broker/dealers, credit card issuers, asset management firms and MSBs in developing and implementing enhancements to their anti-money laundering and OFAC compliance programs.

Mike first joined First Republic Bank in 2010 and held many cross-functional roles prior to leading the BSA/AML Enhancement Plan in 2014, an enterprise-wide initiative covering all facets of the BSA program. In addition to his leadership experience at the bank, he held financial management positions at IBM and Lenovo International. Mike has his MBA from East Carolina University and a BSBA double-concentration in Managerial Finance and Accounting. Certified Anti-Money Laundering Specialist (CAMS.)