Lisa Karakis
About Lisa Karakis
Lisa Karakis is the VP Compliance at Jefferies LLC, with extensive experience in anti-money laundering and transaction monitoring.
Company
Lisa Karakis is employed at Jefferies LLC. Jefferies LLC is a well-known global investment banking firm headquartered in New York City. Within Jefferies, Lisa holds key roles that contribute to the firm's compliance and anti-money laundering (AML) efforts. The company is recognized for its robust financial services including investment banking, capital markets, and asset management.
Title
Lisa Karakis serves as the Vice President (VP) of Compliance at Jefferies LLC. In addition to this role, she is also an Anti-Money Laundering Analyst. Her responsibilities encompass a range of compliance activities aimed at ensuring adherence to relevant regulations and mitigating financial risks for the company.
Education and Expertise
Lisa Karakis obtained a Bachelor of Business Administration (BBA) from City University of New York-Baruch College. She majored in Entrepreneurial and Small Business Operations, completing her studies from 2000 to 2004. Her academic background laid the foundation for her extensive expertise in compliance, especially in transaction monitoring and anti-money laundering regulations.
Responsibilities and Skills
In her role at Jefferies LLC, Lisa Karakis is responsible for monitoring a variety of transactions including deposits, withdrawals, wire transfers, ACH transactions, and securities trading activity. She handles FinCEN 314(a) Information Requests and maintains Foreign Bank Certifications. Additionally, Lisa reviews adverse media reports and oversees the firm's Customer Identification Program (CIP), ensuring compliance with the USA PATRIOT Act, the Bank Secrecy Act, and other AML regulations.
Compliance and Anti-Money Laundering Experience
Lisa Karakis has accumulated significant experience in the field of compliance and anti-money laundering. Her work involves meticulous transaction monitoring, responding to regulatory information requests, and maintaining certifications. She is well-versed in key regulations including the USA PATRIOT Act and the Bank Secrecy Act. Her role also involves the review of adverse media reports and verifying customer identification documents, all essential to the firm's compliance framework.