Elaine Banar has more than 20 years’ experience developing financial crimes compliance programs for global firms. For over 10 years, Elaine served as the Global AML and Anti-Bribery Head for Guggenheim Partners where she developed and implemented a best-in-class FCC program for broker dealers, investment advisors, investment banking and other entities. This included creating robust policies, procedures and controls, AML-related testing protocols and online training modules. Prior to joining Guggenheim, Elaine served as the Global Head of Sanctions at American Express, and led the Global Sanctions and the Americas Anti-Bribery Compliance teams at UBS.
Elaine’s public service includes 12 years as an Assistant United States Attorney (AUSA) in the Eastern District of New York where she was appointed to roles that included the Chief of the Asset Forfeiture Section and Deputy Chief of the Narcotics Section. As an AUSA, Elaine supervised and conducted numerous investigations and prosecutions of money laundering, sanctions and export violations, securities fraud and other crimes. She also taught investigation tactics to federal agents at the training center in Quantico, Virginia, and the Federal Law Enforcement Training Center in Georgia. Prior to becoming an AUSA, Elaine served 11 years as a special agent with the U.S. Customs Service where she led investigations of money laundering, narcotics trafficking, international weapons and technology smuggling and worked undercover.
Elaine’s international experience includes as a legal advisor to the United Nation’s Mission in Kosovo where she collaborated with a team of police and international lawyers to draft the country’s first covert operations, wiretap surveillance and witness protection laws to combat organized crime. Elaine was also asked to join a team of U.S. law enforcement personnel to teach undercover investigations to police and prosecutors in Latvia, Lithuania and Estonia. Elaine is a co-author of “Combatting Serious Crimes in Post-Conflict Societies,” and “Strategies and Tactics for Conflict-Affected Societies” (U.S. Institute of Peace, 2006 and 2017, respectively.)
Dominick Lopez has over 15 years’ experience with global financial services firms focusing on Financial Crimes Compliance. Dominick was the Americas Head of Anti-Bribery & Corruption at UBS, Investment Bank and led the Americas Anti-Bribery & Corruption Compliance team at HSBC. Most recently, Dominick was a Director at Guggenheim Investments, where he managed day to day operations involving Sanctions, Anti-Bribery and AML Compliance for the investment advisor, broker dealers and other businesses.
Prior to working in the private sector, Dominick spent over 28 years as a special agent with the U.S. Department of Homeland Security, its predecessor, the U.S. Customs Service and the Internal Revenue Service. He supervised and conducted complex investigations involving tax evasion, money laundering, narcotics trafficking, high yield investment frauds, money service businesses and worked in an undercover capacity in numerous international money laundering operations targeting Colombian drug trafficking organizations.
Dominick was also selected to assist the U.S. Department of Justice in training Colombian prosecutors in Quantico, Virginia in conducting money laundering investigations. The training was an important initiative for the U.S. to combat money laundering crimes on a coordinated basis. Dominick was also appointed as a member of a U.S. Treasury Department-led delegation of investigators and financial experts who conducted financial reviews to identify links to terrorist organizations following the 9/11 terror attacks.
With more than 35 years’ experience safeguarding investment advisors, broker dealers, investment banks, and private equity firms
