Anti-Money Laundering
Alma Angotti was most recently a Senior Special Counsel with the FINRA Department of Enforcement and is responsible for a variety of enforcement matters. She also serves as a FINRA Regulatory Expert for Anti-Money Laundering and is involved in most aspects of interpretation and enforcement of AML regulations and SRO rules. She is involved in designing and conducting AML training for both FINRA staff and the financial services industry, both domestically and internationally. She participates as a FINRA representative to several inter-agency AML groups and is a frequent speaker on AML issues.
Prior to joining FINRA, Alma M. Angotti was Senior Enforcement Counsel for the Financial Crimes Enforcement Network (FinCEN), the Treasury Department bureau responsible for money laundering and terrorist financing issues. She joined FinCEN to redesign and implement its largely dormant program for enforcing the anti-money laundering requirements of the Bank Secrecy Act. She was also responsible for drafting various proposed and final regulations required by the Bank Secrecy Act and the USA PATRIOT Act.
Ms. Angotti had several positions within Securities and Exchange Commission Division of Enforcement, where she prosecuted several insider trading and financial fraud cases. In the Division's Office of Chief Counsel, she was responsible for regional office enforcement actions and a variety of policy matters.
