Networking - Careers in Government with SEC, FinCEN, and TARP

Networking Event – Careers in Government

with SEC, FinCEN, and TARP

Tuesday, October 27, 7 p.m.
W&M Washington Office

The Financial Markets and Financial Industry Regulations have undergone significant changes and scrutiny in the past year. 

The GMWDC Chapter is proud to present a discussion on Careers in Government with alumni from the U.S. Securities and Exchange Commission, the Financial Crimes Enforcement Network, and the Troubled Asset Relief Program.

Alumni will discuss new programs, proposed changes to the current US regulatory structure, and offer their insights on how these will affect careers in government.

Resumes will be accepted.

Please feel free to bring questions you may have regarding these agencies to the event.

  • Contact Katie McCown '09 withquestions.

Speaker Biographies


Sarah Green JD ‘01
Sarah Green is a Branch Chief in the Office of Compliance Inspections and Examinations (OCIE), U.S. Securities and Exchange Commission (SEC).  She manages the Commission’s AML examination program for broker-dealers on a day-to-day basis, including designing examination procedures, developing examination modules, conducting training for SEC and self-regulatory organization (SRO) examiners and coordinating with the SROs on all aspects of AML examination and enforcement.  She also chairs the SEC’s AML Working Group, and oversees AML examination issues arising in the SEC’s eleven regional and headquarters offices and in its Suspicious Activity Report Review Team.

Wm. Clay Roberts BA ‘01

Wm. Clay Roberts is a Compliance Project Officer for the Office of Compliance within the Financial Crimes Enforcement Network (FinCEN).  In this role, Clay facilitates FinCEN’s relationship with Board of Governors of the Federal Reserve System, manages FinCEN’s review of Suspicious Activity Reports for systemic compliance errors, reviews compliance actions taken against financial institutions for Bank Secrecy Act deficiencies, and coordinates a variety of compliance projects.

Prior to joining FinCEN, Clay served as the Anti-Money Laundering Team Leader at Wachovia Securities where he developed anti-money laundering policies and procedures and assisted in managing the firm’s anti-money laundering program.

Michael Heath MBA ‘09

Michael Heath is an analyst with the Troubled Asset Relief Program (TARP) at the U.S. Department of Treasury.  Mr. Heath performs due diligence for investments including automobile manufacturers and financial institutions.  In addition, he is responsible for project management tasks including creation and implementation of new programs and integration and refinement of systems.  He has worked as a fixed income trader for PMA Financial where he managed a portfolio $1.5 billion of client assets.  Mr. Heath received his MBA from The College of William and Mary in 2009 and was inducted to the Beta Gamma Sigma honor society.  During his time at W&M he was a member of the Student Assembly, the Graduate Council, the Judicial Council, and president of the MBA finance club.  He received his bachelor’s degree from Northern Illinois University in 2005 and was inducted to Phi Kappa Phi, Beta Gamma Sigma, Golden Key, and Financial Management Association honor societies.  He served as president of the Financial Management Association and the Finance Student Advisory Board, and was a member of the Dean’s Student Advisory Council and the Strategic Planning Committee.

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On the Web

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Financial Services Committee | U.S. House of Representatives

Committee on Financial Services ... of the initial TARP investment. The Subcommittee will continue to focus on how ... Enforcement Network’s (FinCEN)

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Politi Fact • 4/27/2010

Anti-Money Laundering Trends & Career Opportunities

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Global Research • 3/28/2013

Neil Barofsky: Bringing Transparency To TARP

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The Metropolitan Corporate Counsel • 10/4/2009

The Morning Risk Report: Zeroing in on Suspicious Activity

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The Wall Street Journal • 4/12/2013