Lisa D. Smith, Inc.: Trusted Financial Crimes Solutions


About Lisa D. Smith- President & Founder

Lisa is a multi-faceted professional with over 23 years of proven and progressive financial institution experience in accounting, corporate financial control, compliance risk management, audit and independent consulting. Of that, 13+ years direct AML/BSA compliance experience in regulated financial institutions as a subcontractor in the Financial Crimes arena in various capacities in more than 15 different financial institutions across the US. Specifically, Ms. Smith provided subject matter expertise in the area of AML, BSA and Economic Sanctions related issues including identifying, assessing and managing risks associated with money laundering and terrorist financing

Ms. Smith holds an MBA and a Juris Doctorate (JD) degree coupled with individual industry certifications as an Anti-Money Laundering Specialist (CAMS) and a Fraud Examiner (CFE). 

Lisa D. Smith, J.D., M.B.A., CFE®, CAMS®

Areas of Practice

Established in 2011, Lisa D. Smith, Inc. is recognized as an 8(m) federally certified Woman Owned Small Business (WOSB), a North Carolina state certified Historically Underutilized Business (NC HUB) and holds entity member certifications with the Women’s Business Enterprise National Council (WBENC) and the Carolinas Virginia National Minority Diversity Council (CVNMSDC)

Lisa D. Smith, Inc, offers staff augmentation and advisory solutions in the following BSA/AML areas of practice:

  • Alert Triage/Review

  • Compliance Programs & Business Reporting

  • Conducting Interviews

  • Conflict Resolution

  • Currency Transaction Reporting (CTR)

  • Customer Identification Program (CIP)

  • Customer On-Boarding

  • Dispute Analysis

  • Economic Sanctions/OFAC

  • Enhanced Due Diligence (EDD)

  • Forensic Accounting

  • Fraud Examinations/Reviews

  • Fraud Risk/Controls

  • Internal Controls

  • Investigations

  • High Risk Reviews

  • Know Your Customer (KYC)

  • Model Validation

  • OFAC/Sanctions

  • Policies/Procedures

  • Project Coordination

  • Quality Assurance

  • Regulatory Compliance

  • Remediation

  • Risk Assessments

  • Suspicious Activity Reporting (SAR)

  • Training

  • Transaction Monitoring

  • Tuning/Optimization

  • Watchlist Integration

Compliance Solutions Designed for an Optimal Effect™