2014-15 Institute for Compliance Events

4th Annual Full Day BSA/AML Conference

Friday, October 3, 2014

The AMLA and Institute for Compliance in Financial Markets at IIT Chicago-Kent College of Law presented a full day BSA/AML conference.

The conference program covered a number of important topicsto help attendees stay current on recent enforcement issues and trends occurring within financial institutions. 

Some of the important questions addressed include: Is your financial institution prepared to meet the global challenge of terrorism and terrorist financing risks? What are the connections between terrorism, extremism, separatism and crime (including drug trafficking)? What are some ways to identify, analyze and investigate fraud? What is required under the recently proposed FinCEN beneficial ownership customer due diligence? Large banks are no longer willing to accept risks related to MSB's. How does that decision affect smaller financial institutions and what should you be aware of?

6th Annual Conference on Futures and Derivatives

Friday, October 17, 2014

IIT Chicago-Kent's CLE office presented an annual practical update on recent legal, regulatory and enforcement developments for lawyers and compliance officers. The conference featured practical and informed discussion on the most recent legal, regulatory and enforcement developments affecting futures and derivatives practice.

Debt and the American Dream, presented by the Illinois Humanities Council's John A. Wing Society

Tuesday, May 26, 2015
Mesirow Financial - James Tyree Auditorium

The Illinois Humanities Council presented a discussion of the past, present and future of debt in American life in a conversation that connects economics, policy and culture. 

Speakers included Amir Sufi, Chicago Board of Trade Professor of Finance at the University of Chicago and co-author of the award-winning House of Debt; Terrence Young, Director of Commercial Banking at Chicago's Urban Partnership Bank; and Annie McClanahan, Assistant Professor of English at the University of Wisconsin-Milwaukee. The conversation was moderated by Anna Kornbluh, Associate Professor of English at the University of Illinois at Chicago. 

  • How have debt, lending and financial institutions shaped the economic and cultural life of the American middle class throughout our history?
  • How has the financial crisis changed the way we think about national identity? How has it influenced popular culture?
  • What is the role of the financial sector in driving prosperity after the Great Recession?

Anti-Money Laundering Association (AMLA) Full Day Event: Dr. Amit Kumar

Anti-Money Laundering Association

Wednesday, June 10, 2015
Washington, D.C. and via teleconference/webinar

On June 10, the AMLA presented an all-day event for policy and strategy experts, law enforcement practicioners, anti-money laundering/combating the financing of terrorism (AML/CFT) compliance professionals, and others.

AMLA Senior Fellow Dr. Amit Kumar presented on India's fast-changing AML/CFT world of compliance, addressing issues including:

  • What are the current and evolving terrorist financing and money laundering trends in India?
  • Why is it critical and timely for the US AML/CFT compliance world to focus on India?
  • How are these measures making India an attractive destination for US investment and trade and for the US banking, insurance, and security industries?
  • What implications do these developments have for US policymakers and strategists, US law enforcement agencies and personnel, financial institutions that have operations/branches in India, and AML/CFT compliance professionals?
  • What are the avenues and opportunities for growth of the US AML/CFT sector in India?

Compliance Career Conversations

IIT Chicago-Kent has numerous alumni who work in compliance—some in very senior positions. Using these connections, the Institute hosts a series of relatively informal discussions about careers in compliance for students and alumni.

Compliance Career Chat with Lauren Friedlen

Tuesday, March 24, 2015

Lauren Friedlen
Lauren Friedlen, class of 2013, came to talk about her position as Compliance Specialist at the Chicago Board Options Exhange (CBOE). Lauren focuses on general corporate compliance, enterprise risk management, and compliance with SEC and CFTC regulations.

Compliance Career Chat with Arian Hassanalizadeh '14

Tuesday, February 17

Arian Hassanalizadeh

Recent Chicago-Kent alumnus Arian Hassanalizadeh discussed his role as Advisory Compliance Officer at JPMorgan Chase. Arian began as an intern at JPMC in Summer 2013 and was recruited through the JPMC Compliance Summer Associate Program.

Compliance Career Chat with Ron Gieseke

Monday, September 8, 2014

Ron Gieseke

Ron Gieseke spoke with us about his career in compliance on September 8. He is the Director, Assistant General Counsel and Assistant Secretary of Ameren Corporation, an electric and natural gas distribution utility with headquarters in St. Louis.

Compliance Career Chat with Nayra Calderon Najera

Tuesday, September 16, 2014

Nayra Calderon Najera

Nayra Calderon Najera, Vice President and Regional Compliance Manager in the Investment Management Division of Goldman Sachs, came to Chicago-Kent for a career chat on September 16. She has been with Goldman Sachs since 2010 and is responsible for all compliance matters of the firm's Chicago Private Wealth Management office. 

Compliance Career Chat with Kurt Newsom and Faith-Ann Chen

Tuesday, October 7, 2014

Compliance Career Chat with Kurt Newsom imageCompliance Career Chat with Faith-Ann Chen image

Kurt Newsom and Faith-Ann Chen came to Chicago-Kent to talk about their careers at Geneva Advisors, LLC. 

Kurt is the General Counsel and Chief Compliance Officer at Geneva and oversees the legal and regulatory work for the firm. Faith is the Compliance and HR Associate at Geneva. She handles employee-related matters and regulatory issues for the firm.

Compliance Career Chat with Hank Bell

Tuesday, November 11, 2014

Hank Bell, class of 2011, came to talk about his career at the National Futures Association ("NFA"). He is the Senior Compliance Examiner in the OTC Derivatives department at the NFA. He is also the Vice-Chair of the Futures and Derivatives Law Committee at the Chicago Bar Association.