Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
Prosecutorial and institutional expertise enhances the firm’s global financial crime prevention services
Duff & Phelps, the premier global valuation and corporate finance advisor, today announced the hiring of two managing directors in its Compliance and Regulatory Consulting (CRC) practice in New York. Polly Greenberg, former Bureau Chief of the Major Economic Crimes Bureau in the New York County District Attorney’s office, and Daniel Wager, former U.S. Head of Anti-Money Laundering at HSBC, have joined the firm.
Regulators globally continue to focus on financial crime and require organizations to mitigate risks associated with money laundering, sanctions, insider dealing, and bribery/corruption. Ms. Greenberg and Mr. Wager will assist clients in developing robust governance policies, systems and controls in-line with global regulatory expectations. Their combined experience adds further depth to the firm’s already-established global financial crime prevention capabilities, including regulatory commissioned reviews, monitorships, governance and controls assessments, remediation projects and forensic investigations.
“Preventing financial crime requires firms to take a comprehensive approach to governance and compliance,” stated Julian Korek, CRC practice leader. “Polly and Dan’s extensive prosecutorial and institutional experience will provide immediate value to our clients and demonstrates Duff & Phelps’ continued investment to serving the industry’s increasing governance requirements.”
Ms. Greenberg most recently spent nine years in the New York County District Attorney’s Office (DANY), assuming the role of Bureau Chief of the Major Economic Crimes Bureau in 2012. She supervised the investigation and prosecution of complex financial fraud, including money laundering and terror finance, and cases involving securities, mortgage and tax fraud, insurance and bribery. Working with the Department of Justice, the Office of Foreign Assets Control, state and federal regulators, Ms. Greenberg oversaw the five most recent investigations that led to New York State deferred prosecution agreements with, or a guilty plea by, five international banks for violations of U.S. sanctions law. During her tenure at DANY, she oversaw the creation of a Financial Intelligence Unit, which utilizes open source data to generate and support investigations across the DANY. She also oversaw the formation of the International Money Movement Center, a multi-agency project uniting resources across key agencies to collaborate on cases involving illicit international flow of funds.
Mr. Wager brings nearly two decades of multi-sector experience in fraud investigations, compliance and enforcement. Most recently he was a Senior Vice President and Head of Regional Anti-Money Laundering Investigations at HSBC. In this role, he led the overhaul of investigative functions and processes, managed regulator and court-appointed monitor relationships, and oversaw investigations of money laundering, proliferation, terrorist financing and sanctions violations. Mr. Wager also previously served as the Global Head of Enhanced Due Diligence at TD Bank Group, and held investigative and enforcement roles at federal agencies including the U.S. departments of Homeland Security, Treasury and Labor. In these roles, he conducted sensitive investigative reviews and assisted institutions to manage their regulator and enforcement agency relationships, legal and reputational risks. He is a decorated U.S. Army veteran and a United States District Court certified expert in the Bank Secrecy Act, money laundering and Title 31.
Duff & Phelps’ financial crime prevention expertise draws on more than 160 experienced specialists with diverse backgrounds, including legal, operational, regulatory, compliance and audit. The firm provides a broad range of compliance and regulatory consulting services that support clients across the global financial services industry to build, manage and protect their businesses.
For more information about Duff & Phelps’ Compliance and Regulatory Consulting expertise, visit Compliance and Regulatory Consulting Practice.
About Duff & Phelps
Duff & Phelps is the premier global valuation and corporate finance advisor with expertise in complex valuation, dispute and legal management consulting, M&A, restructuring, and compliance and regulatory consulting. The firm’s more than 2,000 employees serve a diverse range of clients from offices around the world. For more information, visit www.duffandphelps.com.
M&A advisory and capital raising services in the United States are provided by Duff & Phelps Securities, LLC. Member FINRA/SIPC. Pagemill Partners is a Division of Duff & Phelps Securities, LLC. M&A advisory and capital raising services in the United Kingdom and Germany are provided by Duff & Phelps Securities Ltd., which is authorized and regulated by the Financial Conduct Authority.
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September 24-26, 2018 Hertfordshire