Lecturer Bios
Sarah D. Green, Esq.
Sarah D. Green is Senior Director in the Enforcement Division at FINRA, specializing in anti-money laundering (AML) and other Bank Secrecy Act issues. She has responsibility for consulting with both examination and enforcement staff on AML and other issues, as well as training staff organization-wide on the handling of suspicious activity reports (SARs).
Ms. Green is also responsible for FINRA AML policy issues and guidance and external training of financial industry professionals domestically and internationally. Previously, she was the Bank Secrecy Act Specialist in the Division of Enforcement’s Office of Market Intelligence (OMI) at the U. S. Securities and Exchange Commission (SEC). In this role, she oversaw the Commission’s review and use of SARs, consulted with Enforcement staff on antimony laundering and SAR handling issues, and facilitated information sharing between Enforcement and SEC’s Office of Compliance Inspections and Examinations (OCIE).
Prior to joining OMI, Ms. Green was a Branch Chief in OCIE, managing the Commission’s AML examination program for brokerdealers,
including developing examination modules, conducting training for SEC and self-regulatory organization (SRO) staff and coordinating with the SROs on all aspects of AML examination and enforcement. Ms. Green represents FINRA on the Bank Secrecy Act Advisory Group, which advises the Financial Crimes Enforcement Network and the Department of Treasury on anti-money laundering issues.
She is a frequent speaker on AML, and regularly provides technical assistance to domestic and international audiences. Prior to joining the SEC, She was an associate in the Corporate and Securities practice group at Gardner Carton & Douglas LLP. Ms. Green received her J.D. from the William and Mary School of Law and her B.A. from Hamilton College.
Linde Murphy
Linde Murphy is Chief Compliance Officer for M.E. Allison & Co., Inc., a full service broker/dealer and Texas registered investment adviser. Founded in 1946, the firm also provides municipalities with advisory and underwriting services. In 2012, Ms. Murphy joined Presidio Financial Services as they began the CMA process to join M.E. Allison & Co., Inc. Ms. Murphy started her career in investments on a trading desk in Chicago in 1999 and has held positions in compliance, sales, business development and management.
Ms. Murphy graduated with honors from American University in Washington, D.C. with a Bachelor’s of Science in Business Administration focusing on international finance. In addition to the pertinent industry licenses, Ms. Murphy obtained the CRCP designation in
2014 after attending the FINRA Institute at Wharton on the FINRA Small Firm scholarship.
Jeffrey Weiss
Jeffrey Weiss is a Managing Director and the Chief Anti-Money Laundering (AML) Officer at TD Ameritrade, Inc. In this role, he is responsible for implementation and management of the firm’s AML and OFAC Programs. Prior to joining TD Ameritrade, from 2004 to 2013 Mr. Weiss was Managing Director of AML Compliance at Knight Capital Group. From 2001 to 2004, he was a Managing Director in the Internal Audit Department at Bear, Stearns & Co. Inc. Mr. Weiss holds an M.B.A. from Penn State University and a BS in Business Economics from Oneonta State University of New York. He is a graduate of the Securities Industry Institute at the Wharton Business School, and a former Co-Chair of the SIFMA AML & Financial Crimes Committee. Mr. Weiss is also an instructor at Baruch College in the City University of New York’s Continuing Education Program.