Networking Event – Careers in Government
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.
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.Read more »
The mission of FinCEN is to safeguard the financial system from ... counterpart financial intelligence units; and networking ... for a job at FinCEN, ...
About FinCEN: Careers ... Open Government at FinCEN; ... Financial data that FinCEN collects from financial institutions under the Bank Secrecy Act ...
... it’s clear that because the Federal government responded with ... The TARP Tracker and ... Financial Crimes Enforcement Network (FinCEN) Internal ...
Limitations on Executive Compensation for Companies Receiving TARP Assistance ... Expanding upon SEC disclosure requirements, TARP recipients will ... Network (FinCEN)
... the Financial Crimes Enforcement Network (FinCEN) ... White Collar Crime & Government Investigations. Securities Litigation & SEC Enforcement
... working group meetings with the federal banking regulators and the Financial Crimes Enforcement Network (FinCEN). SEC ... Bank Secrecy Act ... Government 's ...
Committee on Financial Services ... of the initial TARP investment. The Subcommittee will continue to focus on how ... Enforcement Network’s (FinCEN)
In recent months, prominent officials from the White House, Justice Department, SEC, banking ... legal recruiters say. Government agencies have conflict-of-interest rules that place limits on what former officials can do on their new jobs.
Washington Post • By Zachary A. Goldfarb • 12/30/2010
Ron Miller, CEO and founder of an equity crowdfunding site focused on operating under the rules of Title III of the JOBS Act called StartEngine, has launched a grassroots effort to pressure the SEC to issue ... has an extensive network of mentors who ...
Forbes • 9/9/2014
However, an unnamed official told Guangzhou’s 21 st Century Business Herald that the government is very likely to intervene ... The Financial Crimes Enforcement Network (FinCEN) in the US has released new guidance for Bitcoin exchanges and payment ...
FX Empire • 10/29/2014
It's true that GM has squared up on its government loans, but Whitacre isn't telling the full story. With GM in deep trouble and hundreds of thousands of jobs in the balance, the Obama administration -- through the Troubled Asset Relief Program (TARP ...
Politi Fact • 4/27/2010
nti-money laundering ... Network. Unfortunately FinCEN has a fairly high turnover but that creates opportunities. I have helped young people get into FinCEN, and they have had really interesting careers. So I wouldn't eliminate the government sector ...
Bank Info Security • By Tom Field • 9/12/2008
We already have job ... and FinCEN [The Financial Crimes Enforcement Network, the financial intelligence unit in the United States] receives a report on that client, who also has a transaction record with financial institutions under the Vatican's remit.
The National Catholic Reporter • 12/20/2013
Brooke’s Note: TD Ameritrade ... guys that did the worst job of anybody were the rating agencies. They were instrumental in causing the crisis.” • “TARP will go down as the most highly successful, unpopular thing the government has ever done.”
RIA Biz • 6/14/2013
That Treasury plan would give secret state apparatchiks, including those ensconced at CIA, NSA and the Pentagon free reign to rummage through the Financial Crimes Enforcement Network’s (FinCEN ... and Exchange Commission (SEC) is in a league of …
Global Research • 3/28/2013
He has also been involved with building a task force consisting of the FBI, FinCEN, the IRS's Criminal Division, the SEC and the U.S. Postal ... whether inside or outside the government, who waste, steal or abuse TARP funds. As Michael pointed out, that's ...
The Metropolitan Corporate Counsel • 10/4/2009
The jobs of regulators and enforcement agencies in U.S. may ... The SARs are filed with the Treasury’s Financial Crimes Enforcement Network (FinCEN), which collects the data and shares it with other agencies. FinCEN spokesman Steve Hudak said that ...
The Wall Street Journal • 4/12/2013
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