AFC Trends & Typologies: Evaluating Risks of High-Net-Worth Global Customers

Dr. William Scott Grob is a financial-crime and risk leader specializing in AML, sanctions, fraud, and emerging typologies. He previously served as director of research and analysis at ACAMS, leading global research on enforcement actions and SAR/STR trends and delivering practitioner-focused training for financial institutions, regulators, and law enforcement partners. He brings more than 25 years of experience across Freddie Mac, Deutsche Bank and HSBC. He holds a Doctorate in Management, completed Harvard Business School’s General Management Program, and maintains multiple industry certifications.

Leah Smirnoff is a Principal Investigator on the Market Abuse Team within FINRA’s Special Investigations Unit (SIU) which focuses on how bad actors are using trading to generate or launder illicit proceeds, including informally moving assets through the securities industry. Leah joined FINRA in 2008 and has worked in several areas including options regulation, trading and market making surveillance and capital markets examinations.

Sarah Vocke is a Principal Investigator on FINRA’s Special Investigations Unit (SIU) within the Illicit Finance and Fraud section of FINRA’s National Cause and Financial Crimes Detection Program. This specialist team serves as a frontline investigative team that monitors for Anti-Money Laundering (AML) and fraud risk and threats across the securities industry, conducts complex high-risk AML and fraud investigations, and partners with other FINRA departments, the financial industry, and regulatory/law enforcement agencies to protect investors and markets from financial crimes and money laundering. Sarah has been with FINRA since 2006 in various roles and is a Certified Fraud Examiner.