Compliance Officers and Personal Liability: Are You At Risk?

  • When: Previously recorded on: March 11, 2015
  • Time: 12:00 PM – 2:00 PM ET
  • Level: Beginner to advanced

Historically, personal penalties against compliance officers were virtually nonexistent. But regulators like the SEC and FINRA have increasingly taken action against compliance professionals they deemed responsible for failing to adopt or implement adequate compliance programs. Even by-the-book compliance officers need to be pro-active in protecting themselves against potential personal liability. Learn how by attending this thought-provoking webinar.

Learning Objectives

  • Reviewing the implications of recent enforcement actions against compliance officers
  • Differentiating between personal vs. institutional liabilities
  • Strategizing in advance to legally protect yourself

Who Should Attend

  • Compliance Officers
  • General and Outside Counsel to Financial Institutions
  • Financial Institution HR Officials


  • Banking
  • Securities
  • Legal


ACAMS Members Non-Members
$245 $445
Purchase Recording Join ACAMS


Betty Santangelo
  • Betty Santangelo

  • Litigation Partner
  • Schulte, Roth & Zabel LLP

Joe Soniat
  • Joe Soniat

  • BSA/AML Officer
  • Union First Market Bankshares

Jeffrey Weiss
  • Jeffrey Weiss

  • Chief AML Officer
  • TD Ameritrade