Sarah Green

Sarah Green

Senior Director, AML Compliance

Financial Industry Regulatory Authority (FINRA)

Ms. Green is a 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 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 anti-money 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 broker-dealers on a day-to-day basis, 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 is a member of 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 has provided technical assistance for domestic and international audiences. Prior to joining the SEC, Ms. Green was an associate in the Corporate and Securities practice group at Gardner Carton & Douglas LLP. She received her J.D. from the William and Mary School of Law and her B.A. from Hamilton College.