Senior Director, Anti-Money Laundering Investigative Unit
Financial Industry Regulatory Authority (FINRA)
Blake Snyder is the Senior Director for FINRA’s AML Investigative Unit, which consists of a specialized team of examination staff that conduct complex Anti-Money Laundering examinations. The AMLIU’s other functions include providing guidance to FINRA examination and Enforcement staff in connection with examinations and investigations; providing training to FINRA staff throughout the country; and providing education and training to the industry on AML issues. Blake assists in developing FINRA’s AML-related priorities and serves as a Regulatory Specialist within FINRA in the areas of AML, fraud and financial crime. Blake holds the Certified Regulatory and Compliance Professional (CRCP) designation, and graduated from Florida State University with a Bachelor’s degree in Finance. Blake works from FINRA’s Florida District Office, and has been with FINRA for 18 years.
An annual conference highlight, this breakout session addresses current regulatory topics affecting the cross-border private client business. Featuring senior SEC and FINRA staff and leading brokerage industry counsel, both internal and external, the panel will discuss: The SEC’s proposed Regulation Best Interest and its impact on the cross-border private wealth business The significance of FINRA’s […]
We have assembled a panel of examiners from the various regulatory agencies to share with us their “ground floor” view of the current issues and challenges that arise in the examination process.