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

 
 
Posts Coming Soon
Explore other categories in this blog or check back later.
 

ABOUT

Ola M. Tucker, JD, CAMS

I am an experienced compliance professional with subject-matter expertise in anti-financial crimes compliance, including anti-money laundering, anti-corruption, and international sanctions laws and regulations.

 

I have worked in the financial services industry for approximately 15 years, and have helped develop and implement corporate compliance programs at international and domestic companies, including Fortune 50 corporations. I also served as the BSA/AML 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, whereby I provide freelance writing and compliance training 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.

Ola Tucker headshot_edited.jpg

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. 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

Articles

U.S. Legislation Targets the Enablers of Money Laundering, Diplomatic Courier. Diplomatic Courier, (November 4, 2021).

The AMLA Targets Anonymous US Shell Companies, But Can It Halt Illicit Fund Flows Globally? ACAMS Today, (May 28, 2021). 

Understanding the Risks and Challenges of Shell Companies in Managing AML Compliance. Journal of Financial Compliance, Vol. 3, No. 4, (Summer, 2020). 

The SEC Breaks New Ground with Sanctions, Export Control Penalties in FCPA Action. Bloomberg Law, (December 12, 2019).         

The Role of the Board of Directors in AML Compliance. CorporateComplianceInsights.com, (November 4, 2019). 

 

How Shell Companies Might be Circumventing FinCEN's Beneficial Ownership Rule. CorporateComplianceInsights.com, (July 5, 2019).

Blog Posts


Customer Due Diligence: Meeting Regulatory Expectations,” Alessa, (December 8, 2020).

"The disappearance of office chit-chat," SAI Global, (September 26, 2020). 

Book Contributions

"Ola Tucker's Training Tips," Sending the Elevator Back Down: What We’ve Learned From Great Women in Compliance, Lisa Fine and Mary Shirley, CCI Press, (October 2020). 

Forthcoming

The Flow of Illicit Funds: A Case Study Approach to Anti-Money Laundering Compliance, Georgetown University Press, Forthcoming 2022.

 

 

PRESENTATIONS & WEBINARS

        To read an article about the webinar and access the webinar link, click here:

  • "Anti-corruption and the fight against money laundering and the financing of terrorism (AML/CFT): what are the challenges for European companies?" Faculté de Droit (FLD), Webinar, June 22, 2021. Speaker.

  • “Cybercrime and the Recent Wave of Ransomware Attacks.” UNIVALI & Widener University Delaware Law School, Webinar Lecture Series, June 16, 2021. Speaker. 
     

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

  • "Understanding the Board of Directors Role in Effective AML Risk Oversight." Lawline, Webcast, November 6, 2020. Speaker.                     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. Speaker.

        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. Panel Moderator. *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. Speaker.

       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. Speaker.

       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. Panelist.

       To purchase a video recording of the presentation, click here. 

Ola Tucker at Compliance Week Conference
 
 
Speaker Panel at Compliance Week Conference
Ola Tucker, Sergio Moro, Webinar on Anti-Corruption and Covid-19, Delaware Law School and UNIVALI Brasil

CONTACT

302-722-5120

  • linkedin
  • linkedin
  • Twitter