ABOUT US

Aaron K. Fox
Managing Director, Minneapolis Office

Aaron Fox joined IPSA in March 2008 as Managing Director of our Minneapolis, Minnesota office. In this role, Ms. Fox focuses Bank Secrecy Act, Anti-Money Laundering (AML) and Office of Foreign Assets Control (OFAC) issues affecting IPSA’s clients globally. Ms. Fox has expertise in the design, implementation and examination of AML programs as well the design, implementation and enhancement of transaction monitoring systems, online investigative processes, suspicious activities reporting processes and AML staff selection and development.

Experience and Expertise

• Held several senior level AML positions during her 14 year career in the brokerage and wealth management areas of a major international bank.
• Served as Director AML Compliance for the US broker dealers and foreign branches of the bank operating in United States.
• Developed and implemented global AML strategies to meet the needs of US broker-dealers.
• Constructed retail and institutional broker-dealer AML programs.
• Conceived and co-chaired a regional AML conference on AML on Terrorist Financing for financial services institutions.

Education

• University of Minnesota, Accounting Degree

Speaker

Expert speaker on AML and CFT issues:

• Various topics for SEC/FINRA Examiner & Enforcement Attorney Training
  • Transfer Agents Risks
  • AML Red Flags in Low Priced Securities Activity
  • Clearing Services Providers & AML
• Various AML topics for the FINRA/NASD Webcasts, Small Firm & Securities Conferences
• Guest Speaker for the SIFMA AML Conference & presentations on Transaction Monitoring related to Low Priced Securities for the SIFMA AML Committee
• Panelist for a variety topics at AML Conferences
• ACAMs presenter – Webinar – Online Investigations

Multiple articles published in ACAMs Today