Christopher W. Cuzzucoli CAMS

Chief AML/OFAC Officer, LPL Financial

Chris Cuzzucoli joined LPL as the Chief AML/OFAC Officer in May 2014, with responsibility for the firm’s AML, Fraud Prevention and Anti-Bribery programs.  Prior to joining LPL, Mr. Cuzzucoli was the AML/OFAC Officer for Charles Schwab & Co., Inc., and was later appointed to the same position for Charles Schwab Bank and Charles Schwab Global Services, a money service business.  He was also responsible for Schwab's Anti-Bribery program.

Mr. Cuzzucoli’s career has included positions in the legal, compliance, operational and risk management areas of AML.  Mr. Cuzzucoli also served as North American Head of AML for Barclays Corporate Bank, and previously served in the same capacity for TD Bank USA/TD Waterhouse and Dresdner Kleinwort Wasserstein/Dresdner Bank.  While at Citi, he served in various roles, including Global Head of AML and Global Head of Account Intelligence Units for Global Transaction Services, and as AML Counsel for Salomon Smith Barney.

Mr. Cuzzucoli is a member of the Bar in New York, Colorado and Washington, DC, is a member of the SIFMA AML Committee.


Appearances