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Ellen Zimiles

E Zmiles
Office:
New York, NY
Phone:
+1.646.227.4612
Contact:
E-mail
vCard

Ellen Zimiles is a Managing Director and Head of the firm’s Global Investigations and Compliance practice. She has more than 25 years of litigation and investigation experience. As an assistant United States attorney in the Southern District of New York for more than 10 years, Ms. Zimiles served in the civil and criminal divisions and was chief of the forfeiture unit for more than six years. She was responsible for many high-profile money laundering, fraud and forfeiture cases.

Ms. Zimiles is a leading authority on FATCA and has co-authored several articles on FATCA in the past year, most recently a FATCA Highlights brief summarizing the recent FATCA Proposed Regulations. She has been quoted on FATCA in several publications, including American Banker.

Ms. Zimiles’ experience also includes the development of anti-money laundering programs, corporate governance, regulatory and corporate compliance, fraud control, and public corruption matters. She has worked with a multitude of financial institutions preparing for regulatory exams, developing remediation programs and assisting organizations as a regulatory liaison. 

Articles by Ellen Zimiles

Uncle Sam Enlists Banks in Tax Battle

Ellen Zimilies provides perspective around the Foreign Account Tax Compliance Act (FATCA) in this article by American Banker.

 Article / White Paper
The UK Bribery Act: What Are Adequate Procedures

Ellen Zimiles and Joseph Spinelli describe six principles regarding the U.K. Ministry of Justice’s published draft guidance as required by Section 9 of the U.K.

 Article
Financial Markets Association’s Market Solutions Newsletter

The Financial Markets Association’s Market Solutions Newsletter, features Ellen Zimiles and Alma Angotti’s article Anti-Money Laundering Compliance for Investment Advisers- What You Can Do Right Now, as the cover story for their March issue.

 Article / White Paper
FinCEN Imposes Anti-Money Laundering Compliance and Suspicious Activity Reporting Requirements on Non-Bank Residential Mortgage Lenders and Originators

Read this article to learn about FinCEN’s extension of some of the Bank Secrecy Act (“BSA”) provisions to non-bank residential mortgage lenders and originators (“RMLO”), including covered entities, developing an AML compliance program, suspicious activity reporting, examination and enforcement, and what companies can do now to prepare.

 Article / White Paper
Final Dodd-Frank Whistleblower Rules- How Companies Can Respond

The SEC approved the final rules to implement the Dodd-Frank whistleblower provisions. Read and learn how companies should respond and what measures to take to ensure compliance.

 Article / White Paper
Meeting the New FATCA Deadlines: A Phased Implementation Approach to Compliance

In the third in our FATCA series, Ellen Zimiles, Richard Kando and Jeffrey Locke give a high level overview of the latest FATCA guidance to help organizations assess their current implementation plan and make the necessary changes in accordance with Notice 2011-53.

 White Paper
Managing the Risks of Master/Sub-Account Relationships

In this white paper, Ellen Zimiles, Alma Angotti and Jay Perlman outline several steps that broker-dealers in securities that have master/sub-account trading structures can take to ensure compliance with all applicable laws and regulations and address the risk presented by their customers.

 Article / White Paper
Evaluating Third Party FCPA Risks

Global organizations maintain tens of thousands of commercial relationships with businesses and individuals that represent widely divergent risk. In the majority of FCPA enforcement actions reported, the improper payments are made indirectly through one or more third parties.

 Article / White Paper
Navigant Announces FATCA FIND to Assist with FATCA Compliance (Press Release)

Navigant announced the launch of FATCA FINDSM, an innovative and proprietary software solution capable of serving as the foundation of an organization’s Foreign Account Tax Compliance Act (“FATCA”) compliance.

 News
FATCA Creating A Compliance Gold Rush

Ellen Zimiles, Managing Director and Head of Global Investigations and Compliance, was quoted in a Wall Street Journal blog discussing FATCA compliance.

 Article / White Paper
SEC Commences FCPA Inquiry of Financial Institution

Navigant's Anti-Corruption Alert titled Securities Exchange Commission Inquiry of Financial Institutions suggests Financial institutions should consider undertaking a review of their anti-corruption compliance programs.

 Article / White Paper
Anti-Money Laundering Compliance for Investment Advisers – What You Can Do Right Now

Read this article to learn about FinCEN’s proposed rule that would require investment advisers to establish anti-money laundering compliance programs and file suspicious activity reports. The rule would subject investment advisers to the same rules applied to all entities covered by the Bank Secrecy Act (“BSA”).

 Article / White Paper
FinCEN Requests Comments on Planned Rule to Explicitly Require Customer Due Diligence and Beneficial Ownership

In this article, Alma Angotti and Ellen Zimiles outline the key provisions discussed in the ANPRM and recommends best practices for customer due diligence programs.

 Article / White Paper
10 Years of Corruption in the BRIC Nations: What Will the Next Decade Hold?

November 30, 2011 marked the 10-year anniversary of the term “BRICs” used to denote the four main emerging markets: Brazil, Russia, India and China. To commemorate the anniversary, Ellen Zimiles, Managing Director and Head of Global Investigations and Compliance, appeared on CNBC to discuss the BRIC countries’ efforts to tackle anti-corruption.

 Video
The Foreign Fund's FATCA Dilemma: Meeting Your Responsibility by Coordinating with Third Party Service Providers

In the fourth of our FATCA series, Ellen Zimiles, Richard Kando and Jeffrey Locke discuss foreign funds' specific and unique concerns when implementing FATCA, including operating model implications, impact assessments, and coordination with third party service providers.

 Article / White Paper
A Short Guide to FATCA

The government’s efforts to combat tax evasion have culminated in the Foreign Account Tax Compliance Act. We discuss the steps financial institutions should consider taking today to build a compliance program to prepare for FATCA's enactment in 2013.

 Article / White Paper
FATCA: Take 2 Are You Ready to Certify FATCA Compliance?

In the second of our FATCA series, Ellen Zimiles, Richard Kando and Jeffrey Locke discuss the implicatins of Notice 2011-34 and what companies can do now to prepare for FATCA compliance.

 Article / White Paper

Industry Specialization

  • Insurance
  • Legal

Functional Expertise

  • Anti-Money Laundering
  • Foreign Corrupt Practices Act
  • Special Investigations
  • Regulatory Advisory