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ACAMS 14th Annual AML & Financial Crime Conference

CS5 - Managing Personal Versus Corporate Liability Risk in Compliance Actions

Sep 29, 2015 1:30pm ‐ Sep 29, 2015 2:45pm


• Analyzing cases where enforcement actions found corporate and personal violations
• Understanding the parameters applied size and severity of penalties imposed to AML officers 
• Mitigating personal liability risk with enterprise-wide culture of compliance measures


  • Susan J. Galli, CAMS, President, Galli AML Advisory, LLC
  • Marilú Jiménez, Esq., CAMS, Founder and President, Financial Intelligence Network & Compliance Advisors (FINCAdvisors)
  • William D. Langford, CAMS, Chief Compliance Officer for the Americas, MUFG Union Bank, N.A.
  • Tara M. Dziengel, Senior Vice President, Global Head of Anti-Money Laundering, Northern Trust

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