Open to the Public!
State of the Industry: AML Considerations in a COVID World
FinCEN Update: Cybersecurity Concerns Related to COVID-19 Exploitation
Industry Update /Government’s Perspective
Sports Betting AML Considerations
Does your compliance program mitigate the risk of non-compliance?
Has your Casino been selected for an IRS exam? A step by step on what to expect!
Know Your Customer, Customer Due Diligence, Enhanced Due Diligence
A Review on The Requirements and Expectations
The Unknown Zone
Dealing with unknown patrons and unknown source of funds.
New CTR Filing Requirements
The Future of Gaming
Cashless Play: AML Concerns Going Cashless
What types of analytics should you perform outside of suspicious activity and why?
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Dowling Advisory Group
Jim Dowling is the Managing Director of Dowling Advisory Group (DAG). He has more than 30 years experience in the areas of fraud, anti-money laundering (AML) and risk management. His career includes extensive experience as a Special Agent with the IRS Criminal Division, “Big Four” accounting and regulatory compliance. Jim also served as the Anti-Money Laundering Advisor to the Executive Office of the President, White House Drug Policy Office. He served on FinCEN’s Bank Secrecy Act Advisory Group and OFAC’s SDN Kingpin selection group. The Dowling Advisory Group provides casinos with expertise in conducting independent testing of Title 31 programs, creating and evaluating risk assessments and related programs. DAG also helps casinos establish Customer Due Diligence (“CDD”) and “Source of Funds” programs. The DAG team has conducted independent testing at all sizes and types of casinos including some of the largest in the country. DAG has developed proprietary data analytics software for testing Title 31 programs that is unparalleled in the industry.
Jim is also an adjunct professor at the USC Marshall School of Business where he teaches forensic accounting in the master’s program and is on the ACAMS Board of Directors for the Southern California chapter.
Dowling Advisory Group
Brian Lopez is a Director with the Dowling Advisory Group where he specializes in the use of data to help all types of financial institutions in preventing money laundering and the funding of terrorism. Brian has been a forensic investigator with KPMG LLP, Durkin Forensic Inc., CliftonLarsonAllen LLP and Grant Thornton LLP. Brian has experience in providing investigative, financial and economic consulting services in conjunction with business, accounting, Bank Secrecy Act, anti-money laundering, corruption and fraud-related issues. Brian has worked with some of the largest casinos in the world, assisting with the independent testings of BSA/AML programs, remediation related look backs, and data flows and BSA/AML system validations. Brian also regularly presents, writes, and instructs on the topic of forensic data analysis. He graduated from the University of Washington with a Bachelor’s degree in Industrial Engineering and obtained his Master’s in Business Administration from the UCLA Anderson School of Management. Brian is a Certified Fraud Examiner and a Certified IDEA Data Analyst.
Hogan Lovells, LLP
Gregory Lisa is a Partner in the Washington, D.C. office of Hogan Lovells, a global law firm. Greg uses his extensive firsthand experience in anti-money laundering to help financial institution clients navigate the complex regulations and expectations of regulators, examination teams, and law enforcement agencies, civil and criminal.
Before joining Hogan Lovells, Greg was the Interim Director of the Office of Compliance and Enforcement at the Financial Crimes Enforcement Network (FinCEN), the Treasury Department’s lead regulator for overseeing and enforcing anti-money laundering laws. Greg also served as the Chief of the Money Services Businesses and Casinos Section within FinCEN’s Enforcement Division. During his tenure, he supervised and conducted a number of investigations, supervisory exams, and enforcement actions across FinCEN’s broad jurisdiction, including investigations into large depository institutions, global securities firms, casinos and card clubs, cryptocurrency exchangers, and other financial institutions.
Prior to his work at FinCEN, Greg served in the Office of Enforcement at the Consumer Financial Protection Bureau (CFPB). As one of its earliest members, having joined before the actual formation of the CFPB, he helped to “stand up” the Bureau’s enforcement program. Greg was also a Trial Attorney at the U.S. Department of Justice for 12 years, first in the Civil Division, and then for almost 10 years in the Criminal Division’s Organized Crime and Racketeering Section as a federal prosecutor, investigating and litigating a number of cases involving money laundering, fraud, RICO, public corruption, and other violations.
Email [email protected]
Phone +1 202 637 3647
Sr. Vice President
Lesley R. Rockwell is a cyber threat intelligence analyst, money laundering expert, and instructor. Rockwell is an SVP at Citi, where she provides training and editorial support to Citi’s Cyber Intelligence Center (CIC), which helps protect Citi from cyber threats—including fraud, espionage, extortion, and disruptive and destructive attacks—by analyzing internal and external data and information to help Citi decision makers appropriately prioritize Citi’s cyber defenses. Rockwell also produced intelligence products and courses to help Citi’s Global Anti-Money Laundering (AML) Operations personnel more accurately and efficiently identify potential money laundering- and terrorist financing-related transactions. As an intelligence analyst working for the U.S. Department of Justice, Rockwell provided strategic intelligence regarding domestic drug money laundering activity to U.S. policymakers, intelligence agencies, law enforcement officials, and the financial services community.
Rockwell is an Adjunct Fellow at the American Security Project, a non-partisan think tank focused on national security threats, where she co-chairs the Financial Intelligence and Information Sharing Working Group (FIIS). Rockwell also teaches intelligence analysis at the University of Texas at El Paso (UTEP). Rockwell holds a Master of Science in Strategic Intelligence (MSSI) from National Intelligence University (NIU), a Master of Science in Administration of Justice from Mercyhurst University, and a Bachelor of Science from Mercyhurst’s Tom Ridge School of Intelligence Studies and Information Science.
More Speakers To Be Announced Soon
Compliance and Title 31 Officers, Auditors, customer facing Operational Managers and Supervisors, HR Personnel, Slots, Table Games, Card Room and Cage Management, Revenue Audit, Casino Accounting, Directors, Executives, Gaming Commissioners, Marketing Management, Gaming Supervisors, Tribal Members and Interns, Security and Surveillance Management.