COMPLIANCE NOTES

Providing compliance-focused 

writing, training, and consulting.

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"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

 
 

Updated: Mar 24

I'm excited to announce that my forthcoming book will be published by Georgetown University Press in 2022. Check back soon for further details!




 

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. I have worked in the financial services industry for 15 years, and have helped develop and implement corporate compliance programs at international and domestic companies, including Fortune 500 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 and financial services sectors. 

 

For more details about my professional experience, see my resume here.

 

Contact me to learn more.

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SERVICES

​I offer freelance writing services focused on compliance & ethics, financial crime, legal, and regulatory issues. I also provide customized compliance training and educational content, as well as compliance consulting. Services include:

  • Writing & Editing 

  • Training Materials / Educational Content

  • Textbook Collaboration 

  • Curriculum Development 

  • Workshops

  • Webinars

  • Presentations

  • Expert Witness Testimony & Consultation

  • Compliance Training

  • Compliance Program 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

  • "Best Practices for Conducting Effective Customer Due Diligence." Bermuda Bankers Association. Webinar. March 19, 2021.

  • "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:  

  • "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.​

  • "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.​

  • "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.

  • "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.

  • "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

  • "AML Issues Impacting Trusts." Compliance Week Annual Conference, Washington, D.C., May 2021.

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CONTACT

302-722-5120

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