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

Dr William Scott Grob, CAMS-FCI, CGSS, FRM, CAIA, is the Director of Research and Analysis, responsible for promoting quantitative research methods. He has built customized programs, such as the two Illegal Wildlife Trade certificates developed with the WWF & WJC and the two Ending Modern Slavery & Human Trafficking with the FAST Initiative & Polaris. Previously, he was the ACAMS AML Director for the Americas and Asia. Dr. Grob has over 25 years of financial and banking expertise. His most recent role was as Regional Head of Affiliates Management, HSBC, where he worked on mitigating financial crime and correspondent banking risks across Asia. His 12-year career at the bank also included managing risk within the Equity/FX prime brokerage business, Structured Funds business, and Hedge Fund units.

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.