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Organizational Units and Executive Officials
Organizational Units and Executive Officials
T

he Financial Crimes Enforcement Network includes the Office of the Director and four major operating divisions. In addition, the Office of Chief Counsel, which reports to the U.S. Department of the Treasury, provides legal services for the Financial Crimes Enforcement Network. Descriptions of these units and biographies of key officials follow:
Organization Chart
Office of the Director
The Office of the Director is made up of the Financial Crimes Enforcement Network's top executives and support staff. It includes the Director, Deputy Director, Chief of Staff, Office of Security, Office of Outreach and Workplace Solutions, and Office of Public Affairs. Key officials in the Office of the Director include the following:
Willam Fox photo William J. Fox was appointed by Treasury Secretary John Snow to be the fourth Director of the Financial Crimes Enforcement Network on December 1, 2003. As Director, Mr. Fox leads our role as administrator of the Bank Secrecy Act, which authorizes the collection, analysis and dissemination of financial information important to the prevention of money laundering and terrorist financing.

Prior to his appointment as FinCEN's Director, Mr. Fox served as Treasury's Associate Deputy General Counsel and Acting Deputy General Counsel. After September 11, 2001, he also served as the principal assistant and senior advisor to Treasury's General Counsel on issues relating to terrorist financing and financial crime. Mr. Fox was recognized for his work on these issues with a Meritorious Rank Award in October 2003.

Mr. Fox came to the Department of the Treasury in December 2000 as the Acting Deputy Assistant General Counsel for Enforcement. From 1988 to December 2000, he served at the Bureau of Alcohol, Tobacco and Firearms (ATF), first as an attorney in ATF's Chicago office, then as the Senior Counsel for Alcohol and Tobacco and finally as ATF's Deputy Chief Counsel. During his time with ATF, Mr. Fox provided legal support to several large scale criminal investigations; helped oversee ATF's regulatory program; served as a legal point person for ATF's alcohol and tobacco diversion program; worked on several important legislative initiatives; and served as principal legal support for the United States Trade Representative's Office for wine trade negotiations with the EU and other wine producing countries.

Mr. Fox was born and raised in Nebraska. He received his bachelor's degree in history and a law degree from Creighton University in Omaha. In March 2005, U.S. Banker magazine named him one of the 25 most influential people in high finance. He is married and has two children.

Mr. Baity photo William F. Baity was appointed Deputy Director of the Financial Crimes Enforcement Network in January 1995. In his position as Deputy Director, Mr. Baity is responsible for working with the law enforcement, financial and regulatory communities to ensure the effective coordination of anti-money

 
laundering initiatives. Before his appointment, Mr. Baity served as Acting Director (February 1994 - December 1994) and Deputy Director (August 1991- December 1994) of the United States Bankruptcy Trustee Program of the Department of Justice. He also served for more than three years as the first United States Trustee for Region 5 (the Judicial Districts of Louisiana and Mississippi). From February through October 1990, Mr. Baity concurrently administered Region 15 (the Judicial Districts of Southern California, Hawaii, and Guam). From 1980 to 1988, Mr. Baity served as an Assistant U.S. Attorney in the Eastern District of Louisiana, headquartered in New Orleans; he was chief of the Civil Division in that district during his last four years in the position. From 1976 to 1980 he was an Assistant Director Legal Officer in the U.S. Coast Guard, supervising all cases involving criminal maritime enforcement, such as narcotic, fishery and environmental violations. Before joining the government, he worked for the Exxon Company as an Economic and Business Analyst. Mr. Baity received a bachelor’s degree in mathematics from North Carolina College in 1969, a master’s degree in Industrial Administration from Carnegie- Mellon University in 1971, and a J.D.
from Vanderbilt University in 1976. He is admitted to the bars of Louisiana and Tennessee. Mr. Baity is married with two children.

Mr. Schwarz photo Jeff Schwarz was named Chief of Staff for the Financial Crimes Enforcement Network in July 2004. In this capacity, he serves as the principal advisor to the Director. He oversees daily operations, coordinates policy implementation for the agency, and advises the Director on management issues impacting the organization.

Mr. Schwarz began his career with the Uniformed Division of the U.S. Secret Service at the Department of the Treasury. He then moved to the Department of State, where he served as a Special Agent with the Bureau of Diplomatic Security. Later, he went to the Department of Defense, where he became the Defense Criminal Investigative Service's representative to the Financial Crimes Enforcement Network. During his career, Mr. Schwarz has served as a Special Agent in Washington D.C., Los Angeles, Cleveland and Chicago.

Mr. Schwarz received a bachelor of arts in political science and a master of science in education administration from Fort Hays State University.
 



Office of Chief Counsel

The Financial Crimes Enforcement Network is dedicated to maintaining the highest legal and ethical standards of government service. The Office of Chief Counsel supports that goal by providing legal services to the bureau in the conduct of all its operations, ranging from statutory and regulatory interpretation and drafting to ethics determinations and training.

Brian Ferrell photoBrian L. Ferrell was General Counsel to be the Chief Counsel of the Financial Crimes Enforcement Network in July 2005. In that role, Mr. Ferrell supervises attorneys and support staff that provide legal advice to bureau officials across the full range of their responsibilities.



Mr. Ferrell previously served as Chief Counsel of the Department of the Treasury's Bureau of the Public Debt, and as Treasury's Senior Counsel for Litigation. Before joining the Department of the Treasury in 2001, Mr. Ferrell spent nearly eight years as a Trial Attorney at the Department of Justice. Prior to entering government service, he spent several years in a litigation practice in upstate New York and two years as Assistant Dean of his Alma Mater.

Mr. Ferrell holds a bachelor's degree from Creighton University, a J.D. from Creighton University School of Law, and a master’s degree in environmental law and policy from Vermont Law School. He is a member of the Nebraska and New York bars.
Office of Chief Counsel Activiy
Analytics Division
The Financial Crimes Enforcement Network is the largest overt collector of financial crimes intelligence in the United States. The information we collect under the Bank Secrecy Act is highly valuable in combating terrorism and investigating money laundering and other financial crime. The Analytics Division includes approximately 80 analysts who mine the Bank Secrecy Act data and fuse it with other information to support regulatory and policy decisions and to assist law enforcement and intelligence agencies investigating terrorist financing and significant financial crimes.

David M. Vogt photo David M. Vogt was named Associate Director of Analytics for the Financial Crimes Enforcement Network (FinCEN) in October 2004. In this capacity, he directs policy-level financial and threat analyses, as well as analyses in support of domestic law enforcement investigations, international law enforcement investigations, regulatory activities, and intelligence agencies. Since joining FinCEN at its inception in 1990, Mr. Vogt has served as Acting Deputy Director and as an Assistant or Associate Director in each of the bureau's primary operational areas. Before assuming his

Organizational Units and Executive Officials chart
Organizational Units and Executive Officials current post, he served as FinCEN's Strategic Planning Advisor. Mr. Vogt's extensive experience before joining FinCEN included serving as a civilian employee in various capacities at the National Security Agency from 1975-1988.

Mr. Vogt holds bachelor's and master's degrees from the University of Missouri.

Client liaison and Services Division
The Client Liaison and Services Division, headed by our Chief Information Officer, is responsible for managing the Bank Secrecy Act data. The Division performs a variety of roles related to collection, processing, and dissemination of the Bank Secrecy Act data. For example, the Division manages:


The Gateway program, through which law enforcement agencies and regulators can access the Bank Secrecy Act data through a secure web connection. We authorize Gateway users, train them, and monitor their use to ensure that the data, which are considered law enforcement sensitive, are properly used, disseminated, and kept secure.

The Platform and Detailee programs, which enable Federal law enforcement and intelligence agency representatives to utilize our databases and analytical tools on- site at our facility.
The Division also provides liaison services with domestic law enforcement agencies, with our counterpart foreign intelligence units in other countries, and with international organizations that set international standards for anti-money laundering and anti-terrorist financing programs. The Division's Special Programs Development Section prepares technical reference guides for law enforcement and other agencies on complex financial transactions.

In addition, the Division manages the technical infrastructure needed for internal operations within the Financial Crimes Enforcement Network.

Jack Cunniff photo Jack Cunniff was named Associate Director of Client Liaison and Services for the Financial Crimes Enforcement Network in June 2004. In this capacity, Mr. Cunniff oversees information technology and liaison initiatives in support of our partners within the law enforcement, regulatory and international communities. In addition, he serves as Chief Information Officer. Mr. Cunniff joined the bureau in December 2003 as the Gateway Program Manager.

Mr. Cunniff was previously the Deputy Assistant Inspector General for Investigations at the Federal Emergency Management Agency, Office of Inspector General. That office became the Department of Homeland Security Office of Inspector General. He also served as a Senior Policy Advisor for the Under Secretary of Treasury (Enforcement).

Mr. Cunniff began his law enforcement career as a Special Agent with the U.S. Secret Service in New York in 1975. He held senior management positions in the Intelligence and Presidential Protective Divisions, ending his career with the Secret Service in 1999 as the Special Agent in Charge of the Office of Protective Operations.

Mr. Cunniff received his bachelor's degree from Northeastern University in Boston.



Law enforcement support through FinCEN research and provision of accessing BSA

The Regulatory Policy and Programs
Division assists in safeguarding the financial system through balanced and consistent administration of the Bank Secrecy Act, as amended by the USA PATRIOT Act of 2001. The Division's Office of Regulatory Policy develops and implements policy through outreach, training, and the issuance of anti- money laundering program, record keeping, and reporting regulations and guidance.

The Division's Office of Compliance promotes effective and uniform application of the regulations by providing support for and oversight of Bank Secrecy Act compliance examinations conducted by other Federal agencies that have been delegated examination authority. More information about these organizations appears on page 45. The Office of Compliance also interacts and exchanges data with a variety of self-regulatory organizations and state regulatory authorities that conduct anti-money laundering examination activities for their own purposes.

The Division's Office of Enforcement addresses instances of non-compliance with the Bank Secrecy Act by penalizing egregious or systemic offenses, compelling corrective action, and promoting future compliance.

The Division also takes regulatory action authorized under section 311 of the USA PATRIOT Act of 2001 if the Secretary of the Treasury finds reasonable grounds for concluding that a financial institution,
jurisdiction, class of transaction, or type of account is of primary money laundering concern. Under this authority, we are authorized to impose a range of special measures that require U.S. financial institutions to take a variety of remedial actions, up to and including a prohibition on the opening or maintenance of correspondent or payable-through accounts.

William Langford photo William D. Langford was named Associate Director of the Financial Crimes Enforcement Network's Regulatory Policy and Programs Division in May 2004. As Associate Director, he oversees the bureau's regulatory functions, including the development and implementation of regulatory policy, Bank Secrecy Act compliance oversight, and civil enforcement. He joined the organization in December 2003 as a principal advisor to the Director for strategic development and administration of regulations involving the Bank Secrecy Act. Since September 11, his focus has been largely on the implementation of the anti-terrorism and anti-money laundering provisions of the USA PATRIOT Act, including the drafting of the regulations implementing these provisions. Mr. Langford previously held positions as Senior Advisor to the General Counsel as well as Senior Counsel for Financial Crimes in the Office of the Assistant General Counsel for Enforcement, both in the Department of the Treasury. Prior to joining the government, he practiced law, focusing on commercial litigation. Mr. Langford holds a bachelor of arts in mathematics from Hastings College in Nebraska, and a J.D. from the University of Texas School of Law.
Key Regualtory Activity
 
The Management Programs Division
performs a crucial enabling role in achieving the mission of the Financial Crimes Enforcement Network. The Division leads efforts to attract, develop, and retain a highly skilled, diverse workforce, facilitates responsiveness to internal and external customers, and evaluates bureau performance to meet stakeholder requirements.

Headed by our Chief Financial Officer, the Management Programs Division accomplishes these goals by providing financial, planning and performance measurement, human resources, and logistics services critical to the Bureau’s operations. This Division, formerly known as the Administrative and Communications Division, includes four offices: Financial Management, Management Services, Human Resources, and Training. The Division manages our financial resources; provides human capital leadership and services; ensures staff training and individual development opportunities; offers graphics and editorial support for internal and external publications; and provides contracting, logistics, records management, and other essential services.
In November 2004, Diane Wade photo Diane K. Wade was named Associate Director of the Financial Crimes Enforcement Network's Management Programs Division, which provides human resources, financial management, administrative, and communications services for the bureau. In addition, Ms. Wade serves as Chief Financial Officer.

Before joining the bureau, Ms. Wade led a team implementing the Department of Energy's Budget and Performance Integration and Five-Year planning initiatives. She was also a civilian employee in the Department of the Army, serving most recently as Acting Deputy Division Chief, Operating Force Division, in the Army's Budget Office. In that position she was responsible for the formulation and justification of the Army's $21.0 billion operations budget. Ms. Wade also led the preparation and justification of the Army's Training and Mobilization budgets and served as Chief, Resource Management Division, of the Army's Material Command -- Far East. Ms. Wade holds a bachelor of science in marketing from George Mason University in Virginia.