Rob Stapleton Email & Phone Number

Malvern, PA, US

London, GB

• Acting as the US broker dealers’ and futures commission merchants’ AML Officer.
• Designing financial crime compliance policies and procedures that meet legal and regulatory requirements in the U.S. and globally.
• Re-designing the KYC and EDD programs for the U.S. at onboarding and for ongoing customers.
• Reviewing documentation for account openings to determine whether to open the account.
• Reviewing third party vendors and tools to use in building a global sanctions program and U.S. financial crimes compliance program.
• Re-designing U.S. and global training programs to ensure local legal requirements are met and records of attendance are maintained.

New York, NY, US

• Build a compliance program tailored to the digital asset business model in preparation for when the business is operating.
• Design policies and procedures around combating financial crimes, including an AML policy, Sanctions policy, KYC/CIP/EDD policies, coin listing and de-listing policy, and investigative procedures.
• Hire compliance professionals to help build and maintain the compliance program.
• Stay abreast of developments in laws and regulations around digital assets, financial crimes compliance, licensing, etc.
• Design a metrics tracking program to monitor the health of the compliance program and report to senior management and the Board of Directors.
• Design a risk appetite statement and key risk indicators to ensure that Nasdaq operates within its risk appetite and report breaches of the key risk indicators to senior management and the Board of Directors.

Greenwich, Connecticut, US

• Oversee all aspects of IB’s AML and Sanctions program on a day-to-day basis.
• Developed new policies and procedures to ensure compliance with the Bank Secrecy Act and other legal and regulatory requirements.
• Continued remediation efforts in accordance with an AWC reached with the CFTC, SEC, and FINRA.
• Leads a team of approximately 200 staff to carry out BSA and Trade Surveillance requirements.
• Provide guidance on investigations into potentially suspicious activities involving money movement.
• Review recommendations from staff related to applying restrictions on customer accounts and to close accounts due to potentially suspicious activity.

Greenwich, Connecticut, US

• Coordinate investigations and investigative procedures across Interactive Brokers Group’s affiliates.
• Assist in remediation efforts in accordance with an AWC reached with federal regulators (SEC, CFTC, and FINRA).
• Coordinate AML/Anti-Financial Crimes policies and written supervisory procedures across IB Group affiliates.
• Provide guidance related to onboarding potential customers and whether to maintain current customers who alert for adverse media or potentially suspicious behavior.
• Assist in the development and implementation of a model governance framework for Interactive Brokers LLC and developing a change management forum.
• Working to improve coordination and communication across all IB Group subsidiaries to improve investigations and to gain a better understanding of the risk IB’s customer base poses.

Greenwich, Connecticut, US

• Provided legal guidance on compliance with the BSA and Anti-Money Laundering Laws.
• Assisted in reorganizing the AML compliance team, including creating new units and reallocating personnel.
• Provided guidance on SAR filings and further investigative steps.
• Provided guidance on remediation projects to ensure they meet legal and regulatory requirements.
• Member of an account opening working group and an AML advisory committee.
• Provided legal guidance on the implementation and development of the EDD program, including how to conduct due diligence on beneficial owners and CAFFIs.

Dallas, TX, US

• Develop and coordinate AML policies and procedures for MGI, its subsidiaries, and regional partners worldwide.
• Coordinate the development and implementation of AML transaction rules.
• Manage the enhanced consumer due diligence program and sanctions teams.
• Liaise with the FIU and Transaction Monitoring and Reporting team to provide guidance on AML/CFT issues and to ensure AML/CFT policies and procedures are followed.
• Implementing a new AML transaction monitoring model.
• Meet with Corporate Compliance Monitor, regulators, and auditors to describe the AML/CFT and Sanctions programs.

Dallas, TX, US

• Provide legal guidance on compliance with the Bank Secrecy Act and Anti-Money Laundering laws and the Dodd-Frank Act in the United States.
• Coordinate with the Compliance Department, IT, and outside counsel to ensure compliance with OFAC sanctions lists.
• Provide legal guidance on compliance with various federal and state regulatory requirements, including examinations.
• Provide legal guidance on compliance with subpoenas.
• Assist in conducting internal investigations to identify potential compliance or FCPA issues.
• Liaise with federal and state agencies and Corporate Compliance Monitor to discuss issues surrounding compliance with various federal and state laws and regulations related to the financial industry.

Prosecuted long term investigations involving money laundering offenses committed by officers of U.S. companies, gatekeepers, and organized crime syndicates, including IEEPA sanctions violations.Coordinated and partnered with local, federal and international regulatory and law enforcement agencies including the FDIC, OCC, SEC, DEA, DHS, and FBI.Managed.

Conducted complex investigations of high-value targets engaged in international drug trafficking and money laundering activities.Prepared pleadings and motions in District Courts related to classified aspects of various investigations.Briefed senior Justice Department officials on aspects of current investigations.

Reviewed requests for court authorization to intercept wire and electronic communications of criminal subjects and targets committing various crimes within the United States.Provided guidance to Assistant United States Attorneys on how to legally obtain court authorization to intercept wire and electronic communications of criminal subjects and.

Washington, DC, US

Argued and tried cases and motions before the District of Columbia Superior Court.Prepared cases for litigation.Conducted research and analysis.Drafted motions, oppositions to suppression motions, and memoranda.Communicated and coordinated with opposing counsel, police officers, victims, and witnesses.

Washington, DC, US

Analyzed and assessed foreign countries abilities to combat terrorist financing and money laundering.Helped design training programs for foreign countries to combat terrorist financing.Developed and implemented budgets and training curricula.

J.D., Law

Ba, English

English