As an associate director, Tracy Angulo plays an integral role in advising clients in the Navigant global investigations and compliance area. Tracy is an accomplished attorney and certified fraud examiner (CFE) with 15 years expertise in administrative law and investigations, the last eight in securities law and regulation and financial fraud investigations, allowing her to bridge the worlds of regulation, auditing, compliance, and litigation.
Areas of Expertise:
At Navigant, provided a Fortune 100 company with anti-money laundering related services pertaining to a transaction look-back. Led a team of six analysts to clear over 500 outstanding transaction alerts. Duties included conducting alert analyses, reviewing and performing case investigations, preparing SAR filings where appropriate, conducting quality assurance reviews, and working with the client on case disapproval's.
Prior to joining the private sector, Tracy served as a principal attorney investigator in FINRA’s Enforcement Department. At FINRA, she led and developed complex investigations involving such issues as anti-money laundering compliance, securities fraud, forgery, conversion, misappropriation and embezzlement, unsuitable and unauthorized trades, and other regulatory violations using the latest in technology and her extensive investigative experience to ensure that all applicable laws were enforced.
Tracy also testified as a lead investigator and fact expert in FINRA hearings. As an Institutional Integrity Officer at the World Bank Group, she was engaged as a lead investigator in a variety of complex fraud and corruption investigations which involved contract and procurement fraud schemes including bid-rigging, conflict of interest and bribery. In additional to investigating high-profile cases in the Washington, DC office, Tracy also led a mission to the Africa Region related to allegations of embezzlement and fraud.