COMPLIANCE NOTES
Providing compliance-focused
writing, training, and consulting.
"Compliance programs must be put into place and—more importantly—communicated repeatedly and enforced properly throughout the entire organization."
-Assistant Attorney General Leslie R. Caldwell
ABOUT
Ola M. Tucker, JD, CAMS
I am an experienced compliance professional with subject-matter expertise in anti-money laundering (AML), anti-corruption, and other financial crimes, as well as sanctions laws and regulations. For over a decade, I worked in-house to develop and implement compliance programs at international and domestic companies, including Fortune 50 corporations. I also served as the AML/BSA Compliance Officer at a Delaware financial services firm focused on high net-worth clients.
Since 2018, I have been teaching classes on compliance and financial crimes at Widener University Delaware Law School. I have spoken at several industry conferences and conducted a number of webinars. Additionally, I am a contributor to various compliance publications.
I founded Compliance Notes in 2019. I provide freelance writing, training, and consulting to individuals and businesses in the legal, financial services, and higher education communities.
For more details about my professional experience, see my resume here.
Contact me to learn more.
SERVICES
I offer highly specialized freelance writing services focused on compliance & ethics, legal, and regulatory issues. I also provide customized compliance training and educational materials, as well as compliance training consulting. Services include:
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Writing & Editing
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Training Materials / Educational Content
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Textbook Collaboration
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Curriculum Development
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Workshops
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Webinars
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Presentations
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Expert Witness Testimony & Consultation
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Compliance Program & Compliance Training Consulting
I can help you communicate complex and technical concepts clearly and effectively. Contact me today.
EXPERTISE - QUALITY - PROFESSIONALISM
PUBLICATIONS
Tucker, O. (2020, Summer). Understanding the Risks and Challenges of Shell Companies in Managing AML Compliance. Journal of Financial Compliance. Vol. 3, No. 4. https://www.henrystewartpublications.com/jfc/v3
A PDF of the article is available upon request. To purchase a subscription to the Journal of Financial Compliance, click here.
Tucker, O. (2019, December 12). SEC Breaks New Ground with Sanctions, Export Control Penalties in FCPA Action. Bloomberg Law. https://news.bloomberglaw.com/us-law-week/insight-sec-breaks-new-ground-with-sanctions-export-control-penalties-in-fcpa-action?context=search&index=1
To access a PDF copy of the article, click here.
Tucker, O. (2019, November 4). The Role of the Board of Directors in AML Compliance. CorporateComplianceInsights.com https://www.corporatecomplianceinsights.com/board-role-aml-compliance/
To access a PDF copy of the article, click here.
Tucker, O. (2019, July 5). How Shell Companies Might be Circumventing FinCEN's Beneficial Ownership Rule. CorporateComplianceInsights.com. https://www.corporatecomplianceinsights.com/shell-companies-beneficial-ownership/
To access a PDF copy of the article, click here.
OTHER WRITING
Various blog posts for Alessa. See: https://www.caseware.com/alessa/category/blog/
Blog post for SAI Global in honor of Compliance Officer Day. (September 26, 2020). See: https://www.saiglobal.com/hub/compliance-officer-day/the-disappearance-of-office-chit-chat
Contribution to "Sending the Elevator Back Down: What We’ve Learned From Great Women in Compliance" by Lisa Fine and Mary Shirley (October 2020). https://www.amazon.com/Sending-Elevator-Back-Down-Compliance/dp/1735028517
PRESENTATIONS & WEBINARS
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"Understanding the Board of Directors Role in Effective AML Risk Oversight." Lawline. Webcast. November 6, 2020. To purchase a recording of the webinar, click here:
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"Law in the Time of COVID-19: Corruption and Money Laundering." UNIVALI & Widener University Delaware Law School, Webinar Lecture Series. May 27, 2020.
To view a recording, click here.
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"Mastering the Art of Ethical Office Politics for Stronger AFC." ACAMS 25th Annual International AML & Financial Crime Conference, Hollywood, FL, April 20-22, 2020. *Conference canceled due to COVID-19.
See the conference brochure here.
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"Board of Director Oversight and Responsibilities in Relation to AML Risk." Clear Law Institute, Webinar. March 24, 2020.
To purchase a recording of the webinar, click here.
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"Board of Director Oversight of AML Risk." Society of Corporate Compliance and Ethics, Web Conference. January 23, 2020.
To purchase a video recording of the web conference, click here.
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"AML Challenges Amid the Rise of the Shell Company." Compliance Week Annual Conference, Washington, D.C., May 20, 2019.
To purchase a video recording of the presentation, click here.
UPCOMING
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"Conducting Effective Due Diligence." Bermuda Bankers Association. March 2020.
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"AML Issues Impacting Trusts." Compliance Week Annual Conference, Washington, D.C., May 2021.
CONTACT
302-722-5120