Greater St. Louis Chapter

Participate

Upcoming Event

  • Best Practices for Identifying, Assessing and Monitoring AML Risks
  • November 16, 2017
  • Presentation: 3:00 PM – 5:00 PM
  • Scottrade
    700 Maryville Centre Drive
    St. Louis, MO 63141
  • Chapter Member: Free
  • Non-Chapter Member: Free
  • CAMS Credits: 2
  • Read More | RSVP Here

Welcome to the web page of the Greater St. Louis chapter of ACAMS. Launched on September 11, 2012, the mission of the Greater St. Louis chapter is to foster and promote the exchange of ideas and information amongst professionals dedicated to the detection and prevention of money laundering and the combating of terrorist financing. Our Chapter will accomplish this mission by organizing and staging various learning and networking opportunities that will be designed to gather professionals in an atmosphere that encourages the sharing of experiences and acumen. We will bring in topical speakers that will present information useful to help all members grow their knowledge base and hold events for the purpose of getting our local AML community together to share their ideas and insights pertaining to the AML topics of the day. If you are an AML professional in the Greater St Louis or surrounding areas, please consider joining us!

  • Best Practices for Identifying, Assessing and Monitoring AML Risks
  • November 16, 2017
  • Presentation: 3:00 PM – 5:00 PM
  • Scottrade
    700 Maryville Centre Drive
    St. Louis, MO 63141
  • Chapter Member: Free
  • Non-Chapter Member: Free
  • CAMS Credits: 2

RSVP Here

  1. Upon clicking on the RSVP link, you will be directed to login to the ACAMS Store
  2. Login or Register
  3. Navigate to “Chapter Events”
  4. Locate your event and “Add to Cart”
  5. Proceed to “Checkout”

Best Practices for Identifying, Assessing and Monitoring AML Risks

Speaker

Jason Chorlins, Principal in the Risk Advisory Services at Kaufman Rossin


Five Year Anniversary Celebration


Roundtable Discussion

Our Chapter continues to receive positive feedback from our prior roundtables so we decided to follow that format again. If there is a topic that you would like to discuss with your peers during this event, please let us know and we will work to include it on our agenda. The roundtable discussion topics under consideration at this time include:

  • FinCEN Advisory on Cyber Events and Cyber Related Crime
  • New Customer Due Diligence Rules
  • Financial Services and the Marijuana Industry

The Greater St. Louis geographic area is comprised of diverse AML professionals from both the private and public sector. Prior attendees for this event include bankers, broker/dealers, regulators, law enforcement, insurance, IT, consultants, and many more.


ACAMS Greater St. Louis Chapter Learning Event: Making the Most of SARs

Speaker

George Villhard, Supervisory Special Agent, Criminal Investigations Division – IRS

George Villhard Presentation

ACAMS Greater St. Louis Chapter Learning Event

The feedback from our last round-table event was very positive and we decided to follow that format again. If there is a topic that you would like to discuss with your peers, let us know and we will try to include it on our agenda for the event. The round-table discussion topics at this time will include:

  • Beneficial Ownership – Final Rule
  • Culture of Compliance and how companies view compliance
  • How to do entities gather and verify enhanced due diligence (EDD) information
  • Hot Topics (Medical Marijuana, Attendee topics, Iranian Sanctions, etc.)

The Greater St. Louis geographic area is comprised of diverse AML professionals from both the private and public sector. We anticipate our attendees will have backgrounds such as bankers, broker/dealers, regulators, law enforcement, insurance, IT, consultants, and many more.


ACAMS Greater St. Louis Chapter Holiday Happy Hour

Sponsord by:

RDC


Greater St. Louis Chapter Learning Event – “Round table discussion on various BSA/AML topic”


Greater St. Louis Chapter Networking Event – “What Happens to SARs after They Are Filed?”

Chapter members and guests enjoyed a webinar provided by ACAMS that outlined emerging crime trends in digital wallets and mobile banking. The presenters of the webinar provided perspectives from various backgrounds. They included one of the largest providers of prepaid debit cards and a large regional banking organization. Topics discussed during the webinar included outlining the AML challenges mobile banking and digital wallets present for regulators and law enforcement, identifying critical infrastructure requirement for compliance and understanding how to review alternative payments and methods of abuse for cyber criminals. Finally, the presenters wrapped up the webinar by explaining how to strengthen your institution’s CDD processes and adopting new transaction monitoring controls. Attendees of the event also took part in a brief discussion after the webinar to compare thoughts and perspectives on this topic. The event was held at Scottrade, Inc. and was sponsored by Actimize.


Greater St. Louis Happy Hour – New Year Kickoff


Greater St. Louis Chapter Networking Event – “Emerging Crime Trends in Digital Wallets and Mobile Banking”

Chapter members and guests enjoyed a webinar provided by ACAMS that outlined emerging crime trends in digital wallets and mobile banking. The presenters of the webinar provided perspectives from various backgrounds. They included one of the largest providers of prepaid debit cards and a large regional banking organization. Topics discussed during the webinar included outlining the AML challenges mobile banking and digital wallets present for regulators and law enforcement, identifying critical infrastructure requirement for compliance and understanding how to review alternative payments and methods of abuse for cyber criminals. Finally, the presenters wrapped up the webinar by explaining how to strengthen your institution’s CDD processes and adopting new transaction monitoring controls. Attendees of the event also took part in a brief discussion after the webinar to compare thoughts and perspectives on this topic. The event was held at Scottrade, Inc. and was sponsored by Actimize.


Model Risk Management from a BSA/AML Perspective

The Greater St. Louis Chapter held a learning event at Scottrade on July 15, 2013 where attendees were given a BSA/AML perspective on model risk management. Our presenters included Executive Board member Animesh Shah and Tom Lazard, both from Crowe Horwath, LLP and the event was sponsored by Equifax. Attendees were given an overview of model risk management regulatory guidance and enforcement and were given critical components of executing an effective validation of an AML model consistent with regulatory guidance as outlined in SR Letter 11-7. Attendees were also given prescriptive and quantitative approaches to the tuning and optimization of models relied upon for AML compliance. Examiner expectations in managing and demonstrating an effective AML model risk framework were also discussed.

Co-Membership Director Animesh Shah and Tom Lazard from Crowe Horwath

Co-Membership Director Animesh Shah and Tom Lazard from Crowe Horwath

Co-Chair Tim Friedman introduces the learning event for the evening and discusses chapter membership benefits

Co-Chair Tim Friedman introduces the learning event for the evening and discusses chapter membership benefits

Co-Programming Director Ron Moore introduces the guest speakers from Crowe Horwath

Co-Programming Director Ron Moore introduces the guest speakers from Crowe Horwath


Molly Darcy’s at the Seven Gables Inn in Clayton, MO

Ron Moore

Ron Moore, CAMS, CFE
Co-Chair
Scottrade, Inc.

Ron Moore is the AVP of Financial Intelligence Unit Technology for Scottrade, Inc. His duties include leading a team responsible for supporting all FIU technology, managing projects related to FIU technology efforts and aligning work to FIU and business strategy.

Since joining the Anti-Money Laundering unit in 2007, Ron, has assisted with the training of new AML associates, the implementation of a new transaction monitoring system, and has been involved in the creation, tuning and analysis of new alerts and monitoring procedures for Scottrade’s bank and brokerage divisions.

Prior to moving into Scottrade’s Anti-Money Laundering unit, Ron was a member of the firm’s Training & Development department, where he educated home office and branch associates on policies, procedures and general market knowledge.

Ron holds a Masters in Business Administration and is a Certified Fraud Examiner (CFE). He is a Certified Anti-Money Laundering Specialist (CAMS) and currently holds active FINRA Series 7, 63, 24 and 55 registrations.


Keith Brisotti

Keith Brisotti
Treasurer
Edward Jones

Keith currently serves as a Senior Team Leader in the Payment Risk Oversight department at Edward Jones. Prior to this role, Keith served as AML Governance and Advisory Manager for Wells Fargo Advisors and First Clearing. He has over 23 years of experience in the brokerage industry starting out in various operational roles in New York and Milwaukee, WI before moving into the Risk/Compliance space 16 years ago while with Bank of New York (BNY) Clearing in Milwaukee. Keith moved to Wachovia Securities (now Wells Fargo Advisors) in Richmond, VA in 2004 as a member of their Compliance Department. From there he moved over to First Clearing Correspondent Services as a Compliance Liaison.

Keith holds a Masters in Business Administration from The Keller Graduate School of Management and a Bachelors Degree from Siena College in Loudonville, NY. He is a Certified Anti-Money Laundering Specialist (CAMS) and currently holds active FINRA Series 7, 24, and 27 registrations.

Email: keith.brisotti@edwardjones.com


Chris Saykes

Chris Saykes
Communications Director
Federal Reserve Bank of St. Louis

Chris Saykes is currently a Senior Examiner with the Federal Reserve Bank of St. Louis. He has over 11 years of experience in the banking industry as a regulator. Chris also served 2 years as a senior bank consultant for a regional accounting firm serving as a BSA/AML and OFAC compliance specialist, where he provided advisory services for a number of large and diversified financial institutions. Currently, Chris is serving a rotational assignment in the Monitoring and Enforcement Unit of the Reserve Bank where he is designated as the central point of contact for a portfolio of financial institutions. Chris is also a member of his Reserve Bank’s BSA/AML Knowledge Group.

Chris received his Masters of Business Administration (MBA) from Keller Graduate School of Management and his undergraduate degree from St. Louis University where he majored in Finance. Chris is also a Certified Anti-Money Laundering Specialist (CAMS).

Email: chris.w.saykes@stls.frb.org


Brendan Normile

Brendan Normile
Co-Chair
EverBank

Brendan Normile is the Assistant Vice President of Compliance and BSA Coordinator for EverBank Wealth Management and EverTrade Direct Brokerage. His AML duties include monitoring trade activity and money movements, performing EDD on suspect accounts, and completing Risk Assessments for both Wealth Management and the Broker/Dealer. Prior to this role, he was a Compliance Examiner at US Bank Investments where he audited Financial Advisers throughout the continental US.

Brendan graduated from the University of Missouri St. Louis with a Bachelor’s Degree in Science and Business Administration. He is a Certified Anti-Money Laundering Specialist (CAMS) and currently holds active FINRA Series 4, 7, 24, 53, 63, and 65 licenses.

Email: brendan.normile@everbank.com


Mitch Farsad

Mitch Farsad
Co-Programming Director
Edward Jones

Mitch Farsad is currently a Senior Anti-Money Laundering Investigative Specialist at Edward Jones. In this role his duties include identifying and developing process improvements on various AML controls, completing quality and accuracy reviews for both US & Canada AML as well as Fraud, workflow coordinator, training and serving as a mentor for new AML associates. In addition, Mitch is responsible for completing high profile investigations including, but not limited to, inquires made by the SEC & FINRA. Mitch also serves as a lead in completeness testing on AML scenarios and conducts analysis on existing AML scenarios to determine effectiveness in identifying risk. Mitch is also involved in other efforts related to standard and security fraud investigations.

Mitch joined Edward Jones as an Anti-Money Laundering Technical Specialist in 2011. In 2012, Mitch was promoted to an Anti-Money Laundering Investigative Specialist. In 2014, he was promoted to an Anti-Money Laundering Investigative Specialist II and in 2016, he was promoted to and Senior Anti-Money Laundering Investigative Specialist.

In addition to his FINRA Series 7 and Series 66 licenses, Mitch is a Certified Anti-Money Laundering Specialist (CAMS).

Email: Mitchell.Farsad@edwardjones.com


Wendy Lewis

Wendy Lewis, CAMS
Co-Programming Director
Scottrade, Inc.

Wendy Lewis is the AVP, Vendor Management for Scottrade, Inc. where she helps manage the risk and regulatory compliance associated with Scottrade’s use of third parties. Wendy has been in the financial service industry for nearly 20 years. Prior to her role at Scottrade, Wendy served as senior director regulatory and government affairs for Blackhawk Network, and formerly served as the chief compliance officer for InteliSpend Prepaid Solutions. She graduated summa cum laude with a B.S. in business management from Maryville University. Wendy earned her CAMS certification in 2009 and currently serves as a Board member of the Greater St. Louis Area ACAMS Chapter.

Email: wlewis@scottrade.com


Patti Paplanus

Patti Paplanus
Co-Secretary
Central Bank of St. Louis

Patti Paplanus is a BSA/AML specialist with over 43 years of experience in banking industry. In her current role, she manages all aspects of BSA/AML compliance for Central Bank of St. Louis. Prior to her transition to the BSA/AML field, Patti spent 31 years in the audit, retail operations, data/telecommunications, security and depository compliance areas of the banking industry. Patti earned her CAMS certification in 2010 and currently serves on the Executive Board of the Greater St. Louis Area ACAMS Chapter.

Email: patti.paplanus@centralbank.net


Casey Gilliam

Casey Gilliam
Co-Secretary
Wells Fargo Advisors

Casey Gilliam is currently an Operational Risk Consultant for Wells Fargo Advisors. Prior to joining Wells Fargo Advisors, Casey was an AML Governance Analyst for Scottrade, Inc. Casey started her career in the financial industry in consumer banking where she spent 10 years with US Bank, holding various roles within the retail branches and compliance quality assurance.

Casey received her Bachelor’s Degree in Business Administration from Southern Illinois University at Edwardsville. She holds the Certified Regulatory Compliance Manager (CRCM) and Certified Anti-Money Laundering Specialist (CAMS) designations and currently holds active FINRA Series 7 and 63 registrations.

Email: Casey.Gilliam@wellsfargoadvisors.com


Animesh Shah

Animesh Shah
Co-Membership Director
Crowe Horwath LLP

Animesh Shah is a Senior Manager and System Implementation Solution Leader at Crowe Horwath LLP. He has over 20 years of professional experience in IT industry of which the past 13 years have been in helping clients design, develop and implement Anti-Money Laundering (AML), Know Your Customer (KYC) and Trading Compliance (TCM) solutions for major financial institutions. He has extensive experience in BSA compliance, AML, Risk technology advisory services, strong project/program management experience, business analysis, product implementation and software development processes.

Prior to working in AML area, he worked at FINRA in providing solutions for Market Regulations group to monitor the trades by Passive Market Makers. Also he has prior experience in Managing Foreign Exchange Positions by using variety of hedging techniques. He earned his MBA in 1998.

He served as the Maryland State representative from March 2009 to July 2010 for International Rett Syndrome Foundation (IRSF), an organization dedicated to fund research for treatments and a cure for Rett syndrome while enhancing the overall quality of life for those living with Rett syndrome by providing information, programs, and services. Currently he has been appointed on the Board of Directors for Missouri TASH, an organization dedicated to promote the full inclusion and participation of children and adults with significant disabilities in every aspect of their community.

Email: animesh.shah@gmail.com


Stephanie J Lambert

Stephanie J. Lambert, CAMS
Co-Membership Director
Scottrade, Inc.

Stephanie Lambert is Assistant VP and Deputy BSA/AML Officer for Scottrade, Inc.

Prior to joining Scottrade, Stephanie managed the AML Governance & Advisory group for Wells Fargo Advisors. She was also a part of the AML Division and Capital Markets/Operations Compliance Officer for Edward Jones. Stephanie started her career in the consumer banking environment where she spent 5 years with Bank of America. Stephanie has over 12 years of experience working in Retail Bank and Brokerage International Financial Services organizations.

Stephanie holds the Certified Anti-Money Laundering Specialist (CAMS) designation. She received her Bachelor’s Degree and MBA in International Business from Saint Louis University.

Email: slambert1@scottrade.com