Alison Jimenez, CAMS

Alison Jimenez, CAMS

Alison K. Jimenez, CAMS, is an Affiliate Expert Witness for Bates Group in Lake Oswego, Oregon where she utilizes her extensive background in the securities industry to consult and provide expert witness testimony on complex financial matters involving Compliance and Anti-Money Laundering. In addition, Ms. Jimenez has experience providing quantitative witness testimony in retail securities litigation matters. Ms. Jimenez is based in Tampa, Florida.

For the past seventeen years, Ms. Jimenez has been the President of Dynamic Securities Analytics where she performs financial analysis relating to securities disputes, including profit and loss, churning, and break-even analysis. Ms. Jimenez has testified at FINRA arbitration, private arbitration and federal court proceedings regarding securities analysis and account activity.

Ms. Jimenez has been retained as an expert on AML issues in federal and state courts, arbitrations, Investor-State Dispute Settlement, and regulatory enforcement actions on a variety of financial crime issues including market manipulation, corruption, Ponzi schemes, and high frequency trading. Ms. Jimenez has served as an independent auditor to plan and conduct AML audits of financial institutions, verify compliance with PATRIOT Act, Suspicious Activity Report filing requirements and other rules/laws. 

She frequently presents on AML issues at national and international conferences and has published multiple articles on financial crime topics.(see sidebar) Ms. Jimenez serves as a content advisor for AML training programs and is on the Education Task Force for the Association of Certified Anti-Money Laundering Specialists (ACAMS). Ms. Jimenez served as a member of the Department of Defense- Working Group on Counter Threat Finance and was selected to attend the DOD’s Countering Transnational Organized Crime program at the George Marshall Center in Garmisch, Germany.

Prior to this role, Ms. Jimenez was a Litigation Analyst with Raymond James Financial where she served as Subject Matter Expert to the Compliance and Legal departments on quantitative analysis of suspicious activity and securities transactions. While with the Florida Department of Banking and Finance, Division of Securities, Alison was a Financial Examiner/Analyst where she enforced Florida, NASD and SEC securities regulations.  Ms. Jimenez holds a master’s degree in economics and is a Certified Anti-Money Laundering Specialist.


Credentials

EXPERIENCE

Dynamic Securities Analytics, Inc., President, Tampa, FL, April 2003 - Present 

Raymond James Financial, Litigation Analyst, St. Petersburg, FL, June 2000 - March 2003 

Florida Department of Banking and Finance, Division of Securities, Financial Examiner/Analyst, Orlando & Tampa, FL July 1998 - May 2000 

South Carolina Senate Finance Committee, Research Assistant, Columbia, SC, Jan 1998 - May 1998

EDUCATION

University of South Florida, M.A. Business Economics, 2002

University of South Carolina at Columbia, Honors College, B.A. in Economics and B.A. in International Studies, 1998

George C. Marshall Center for European Security Studies, Garmisch, Germany, Countering Transnational Organized Crime Program, 2019

PROFESSIONAL QUALIFICATIONS & AFFILIATIONS

Certified Anti-Money Laundering Specialist, March 2007 - present

U.S. Department of Defense Counter Threat Finance Working Group, member 2016 - 2018

NASD (now FINRA) Series 7, 24 (inactive)

SELECT SPEAKING ENGAGEMENTS

“Unraveling the Potential for Coded Bias in Algorithmic Regulatory and Judicial Decision Making”, The World Bank Group- Law, Justice and Development Conference, November 2019.

“Strengthening Your Anti-Bribery and Corruption Policies and Oversight,” ACAMS webinar, September 2019.

“Regulatory Technology Innovation”, 36th Annual Cambridge International Symposium on Economic Crime, September 2018.

“Combating Common Fraud, Insider and Manipulative Trading Schemes”, ACAMS webinar, October 2017.

“Investment Fraud Schemes”, 9th Annual Caribbean AML/CTF, Anti-Fraud and Financial Crimes Conference, July 2017.

“Cannabis Banking: Managing AML Risk during Uncertainty”, FinTech2017 Vancouver Conference, May 2017.

“Adopting Compliance Policies for Banking Hedge Funds and other Alternative Investments”, ACAMS AML & Financial Crime Conference, April 2016.

“Securities Fraud”, Association of Certified Fraud Examiners- Tampa, February 2016.

“Securities Spotlight: Effective Transaction Monitoring and CIP for Broker-Dealers”, ACAMS webinar, October 2015.

“Managing KYC/AML Compliance Risk Rather Than Avoiding It”, American Banker webinar, May 2015.

“Dissecting the Inner Workings of Recent Ponzi Schemes”, ACAMS webinar, November 2014.

SELECT PUBLICATIONS

“What Financial Institutions Need to Know about the Market Crisis & Ponzi Schemes”, Legal Executive Institute, March 2020.

 “Migrant Smuggling: What Financial Institutions Need to Know”, Legal Executive Institute, November 2019.

“EB-5: Pathway to US Citizenship or Money Laundering Concern”, ACAMS Today, September 2019.

“AI Use Carries Bias Risk for Financial Regulators”, American Banker- BankThink, August 2019.

“Unmasking Bias in AML Algorithms”, ACAMS Today, September 2016.

“Banks Weighing Pot Business Find Haze of Misinformation”, American Banker- BankThink, December 2015.

SELECT LITIGATION ENGAGEMENTS

Retained by counsel representing a national broker-dealer in a federal bankruptcy case regarding allegations that the firm failed to implement an adequate AML program and failed to detect a Ponzi scheme.

Retained by counsel representing a leading broker-dealer in a FINRA enforcement action as to whether the firm violated AML rules/laws relating to transaction monitoring of high frequency trading accounts for market manipulation.

Retained by counsel on behalf of a major broker-dealer in a FINRA arbitration regarding customer allegations that the firm failed to properly investigate and escalate suspicious transaction per AML rules/laws relating to elder abuse and check fraud.

Retained by counsel representing a bankruptcy receiver to review a federal financial institution’s compliance with AML regulations relating to check-kiting and fraud.

Retained by counsel on behalf of individual defendant in a state court action in Florida regarding allegations of market manipulation of small cap stocks.

Automat:ee