COMPLIANCE NOTES
Providing written content, specialized writing services, and training material
with a focus on compliance & ethics, legal, and regulatory issues.
"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
at the 22nd Annual Ethics and Compliance Conference, October 1, 2014
Compliance Blog
ABOUT
Ola M. Tucker, JD, CAMS
I am an experienced compliance professional with subject-matter expertise in anti-money laundering (AML), anti-corruption, and sanctions laws and regulations. For over a decade, I worked in-house to develop and implement compliance programs at two Fortune 50 corporations. I also served as the AML/BSA Compliance Officer at a Delaware financial services company focused on high net-worth clients.
Since 2018, I have been teaching classes on international anti-corruption law and corporate compliance programs at Widener University Delaware Law School. I am a contributor to various compliance publications and I have spoken at several industry conferences.
I founded Compliance Notes to share information about compliance requirements, regulations, trends, and best practices focused specifically on AML, sanctions, and anti-corruption. I provide written content, a variety of specialized writing services, and training/educational material to the business, 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 written content and specialized writing services focused on compliance & ethics, legal, and regulatory issues. I also provide customized compliance training and educational materials, as well as compliance program 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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Compliance Academy (online training courses) - COMING SOON!
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Expert Witness Testimony & Consultation
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Compliance Program Consulting
I can help you communicate complex and technical concepts clearly and effectively. Contact me today.
EXPERTISE - QUALITY - PROFESSIONALISM
PUBLICATIONS
1. 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.
2. 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.
3. 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.
FORTHCOMING
4. Tucker, O. (In press). Understanding the Risks and Challenges of Shell Companies in Managing AML Compliance. Journal of Financial Compliance. https://www.henrystewartpublications.com/jfc/forthcoming
PRESENTATIONS & WEBINARS
1. "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.
2. "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.
3. "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
4. "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.
5. "Effective AML Risk Oversight." Lawline. Webcast. November 6, 2020.
6. "AML Issues Impacting Trusts." Compliance Week Annual Conference, Washington, D.C., May 2021.
CONTACT
302-722-5120
