chapter-nyc-20230720 - Association of Certified Sanctions Specialists

FREE! New York Chapter

A Needle in a Paystack:
Best Practices in Identifying Sanctioned Securities

Venue/Host
Webinar (online)
Thursday, July 20

11:00 AM – 12:15 PM NYC

Speakers
  • Jeremy Brayman, Charles Schwab
  • Dainia Jabaji, Winston & Strawn
  • Bahman Farahdel, Bloomberg
  • Howard Spieler, Citi

Event Information

Financial institutions participating in securities markets as a broker, custodian, market maker, or shareholder are faced with key challenges around sanctioned securities.

In this webinar, our panel of experts will discuss:

  • The nuances and complexities of sanctioned securities, including the difference in the recent Russia designations as compared to sanctioned securities of years past;
  • Detecting the sanctions nexus for sanctioned securities, including beneficial owner diligence and identifying sanctioned country nexuses; and
  • Sanctions compliance best practices, including conducting KYC, managing customer and counterparty risk, and utilizing screening tools to ensure pre-trade and post-trade compliance.

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Speakers

Jeremy Brayman

Head of Global Sanctions

Charles Schwab
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Jeremy Brayman is the Director of Global Sanctions at Charles Schwab, where he oversees all sanctions strategy, policy, governance, and technology. Jeremy was previously a principal at Palantir Technologies, where he led the company’s efforts in the illicit finance space. Prior to that, Jeremy served for over a decade at the U.S. Treasury Department, where he held leadership positions within the department’s Office of Terrorism and Financial Intelligence. Jeremy received his bachelor’s degree in International Relations and German from Tufts University, and his master’s degree in Security Policy Studies from The George Washington University.

Bahman Farahdel

Global Head of Sanctions and Anti-Bribery/Anti-Corruption Compliance

Bloomberg
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Bahman Farahdel is Global Head of Sanctions and Anti-Bribery / Anti-Corruption at Bloomberg L.P. He is also the Central Compliance Lead for ESG (Environmental, Social, Governance). Bahman has been at Bloomberg since 2011 and is based in New York. Prior to Bloomberg, Bahman was a Manager at Deloitte Financial Advisory Services from 2006-2011 and worked on various anti-money laundering and sanctions projects, primarily with large international banks. Before Deloitte, Bahman was an AML Compliance Officer at UBS from 2005-2006.

Dainia Jabaji

Of Counsel

Winston & Strawn LLP
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Dainia Jabaji provides financial crimes compliance counseling and investigation services to U.S. and international financial institutions, Fintech companies, non-financial institutions, and more. Dainia frequently assists clients in matters involving U.S. economic sanctions, the Bank Secrecy Act (BSA), and other anti-money laundering (AML) laws and regulations. Dainia provides financial crimes compliance guidance at all stages – from proactive counseling and implementing policies and procedures, to conducting investigations, recommending remediation, and drafting regulatory disclosures. She also assists clients in responding to and investigating circumstances surrounding grand jury subpoenas related to financial crimes.

Prior to joining Winston, Dainia worked at one of the world’s largest financial institutions where she drafted financial crimes-related policies and procedures, conducted AML assessments, led multi-jurisdictional sanctions investigations, and drafted regulatory disclosures. Dainia’s previous experience provided her with an in-depth understanding of the complexity of financial institutions and their internal structures, international payment processing, local and global financial crimes policies and procedures, and complex and ever-changing government regulations and requirements.

Bringing that experience to Winston, Dainia not only assists financial institution clients in these areas, but frequently assist non-financial institution clients as well who seek to implement sanctions or AML programs, or who seek counsel with respect to internal or external financial crimes investigations.

Howard Spieler

Sanctions Risk Officer

Citi
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In June 2023, Howard joined Citigroup as a Sanctions Risk Officer for the Banking, Capital Markets and Advisory Group, where he works with first and second line stakeholders to ensure sanctions compliance with applicable regulations, policies and procedures.

Previously, Howard was a Vice President in the Global Sanctions Compliance Department at MUFG, where he collaborated on sanctions compliance program initiatives and worked on wide-ranging projects, including risk assessments, global product reviews, and consulting on complex transactions. Prior to that, he held anti-financial crime roles at Citibank and AIG, where he provided sanctions and compliance subject-matter expertise to global stakeholders.

Before that, Spieler served in the Bloomberg administration for 10 years, with seven of those years as head of compliance at the New York City Economic Development Corporation, where he helped develop and maintain its risk-based compliance program, which included managing regulatory reporting as well as the ongoing monitoring and assessment of a $30 billion portfolio of public-private real estate transactions.

Between 2016 and June 2023 Howard served on the volunteer board of the ACAMS New York Chapter, with the last five years as as the Chapter Co-Chair. Howard holds a Master’s Degree in Accounting from Kean University, a Master’s Degree in Business Administration (MBA) from St. John’s University, and a Bachelor of Arts with a focus on political science from the University at Albany, State University of New York. Additional information about Howard’s education and professional experience may be found at https://www.linkedin.com/in/howardspieler.