COMPLIANCE NOTES

Providing written content, specialized writing services, and training material

with a focus on compliance & ethics, legal, and regulatory issues.

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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

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:

  • Writing & Editing 

  • Training Materials / Educational Content

  • Textbook Collaboration 

  • Curriculum Development 

  • Workshops

  • Webinars

  • Presentations

  • Compliance Academy (online training courses) - COMING SOON!

  • Expert Witness Testimony & Consultation

  • 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

  • "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.

  • "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

  • "Effective AML Risk Oversight." Lawline. Webcast. November 6, 2020. 

 

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

 
 

CONTACT

302-722-5120

  • Company LinkedIn Page
  • Founder LinkedIn Page
  • Twitter
 

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