Essential Strategies for Financial Services Compliance, 2nd Edition

Foreword to the First Edition

Anti-money laundering and counter-terrorist financing programmes operating inside UK financial institutions today must rely upon the skills of their in-house compliance officers. These individuals are the gatekeepers of our financial world, and they must have the tools to allow them to properly discharge their duties and responsibilities. They must also promote an ethical compliance culture that seeks solutions.

Unfortunately, most compliance manuals in the marketplace today are outdated upon publication, and are generally uninspiring, as well as difficult, especially to the novice compliance trainee. This book seeks to demystify the complex world of anti-money laundering compliance by detailing for the reader the procedures and skills one must master, as well as to offer practical business solutions for regulatory problems. It is the reference guide we always wanted to have when the tough questions arose.

The first-person stories demonstrate that the author has clearly been a front-line compliance professional, and her positive approach to coping with the day-to-day tactical problems of compliance should be an example to the readers.

Keep this book handy, for there will be times when, at 4:30 on a Friday afternoon, you require the right answer, on a real-time basis, to a major compliance problem; Depend on it.

Kenneth Rijock

Financial Crime Consultant for World-Check