Case Study: Growing AML Liability for Professional Services Firms

  • When: Previously recorded on: January 21, 2015
  • Time: 12:00 PM – 2:00 PM ET
  • Level: Intermediate to advanced

Consultants and other professional services firms are a vital link in building, maintaining and testing compliance programs. But they aren’t part of the financial institutions themselves. Nevertheless, they are vulnerable to potentially crippling penalties if regulators determine they aided or abetted money laundering. This close examination details the best practices consulting firms must embrace if they are to avoid similar scenarios.

Learning Objectives

  • Defining the role of professional service providers
  • Developing governance for client relationships
  • Providing ongoing training on business ethics

Who Should Attend

  • Compliance Officers
  • Financial Services
  • Lawyers
  • Auditors
  • Technology Officers


  • Auditing
  • Consulting
  • Banking


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Laura Goldzung
  • Laura Goldzung

  • Founder
  • AML Audit Services

Katya Hirsote
  • Katya Hirose, CAMS

  • Director, Global Risk & Investigations
  • FTI Consulting

Diana Liska
  • Diana Liska, CAMS

  • Compliance Consultant
  • Mutual of Omaha Bank