Gargi Sharma Esq.
Gargi Sharma is Investigative Director within FINRA’s Special Investigation Unit and supports a team of five investigators who conduct complex Anti-Money Laundering investigations. Ms. Sharma is also involved with identifying industry trends that pose compliance risk, especially related to Anti-Money Laundering, and providing training internally within FINRA and to the industry. Ms. Sharma is a Certified Anti-Money Laundering Specialist and graduated from the University of Texas with bachelor’s and master’s degrees in Finance and Accounting. Ms. Sharma works from FINRA’s Florida Office and has been with FINRA for 14 years.
Kara Williams is Senior Principal Investigator in the Special Investigation Unit at
FINRA, where she conducts complex AML and Fraud investigations. In addition to
her regulatory experience, Ms. Williams is also actively involved with FINRA’s
Advanced Analytics Program.
During her 8 years at FINRA, Ms. Williams has served
in various investigative roles identifying high risk activity within Member Supervision
and the National Cause and Financial Crimes Detection Programs.
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.
Charlie George Esq.
Charlie George is the Head of Financial Crimes Compliance & Chief AML Officer at Fidelity Investments with responsibility for the design, implementation and execution of enterprise-wide Anti-Money Laundering, Global Sanctions and Anti-Corruption programs for all Fidelity business lines.
During his 20-plus year career Charlie has held senior-level roles developing, leading, and strengthening financial crimes compliance programs for large, global retail & institutional brokerage, asset management, institutional retirement, trust, FinTech and traditional banking financial services firms and business lines at Raymond James Financial, Capital One, Wells Fargo Advisors, Wells Fargo Wealth & Investment Management, and Cash App at Block (formerly Square). Charlie is also a former Associate National Bank Examiner for the Office of the Comptroller of the Currency (OCC), and a former Management Consultant at Deloitte Financial Advisory Services.
Charlie earned both his BA & MBA from the University of South Florida and has attained the Certified Anti-Money Laundering Specialist (CAMS) and Certified Regulatory Compliance Manager (CRCM) certifications.