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About Us
EA Compliance has been a leading provider of Anti-Money Laundering (AML) compliance services to financial institutions since 2004. We have conducted independent AML program performance audits for:
- Broker/Dealers,
- Futures Commission Merchants,
- Introducing Brokers,
- Non-Bank Residential Mortgage Lenders & Originators.
Our philosophy is that the AML program audit process strengthens and improves a firm's AML program. We aim to help our clients with their AML compliance issues in an efficient and cost-effective manner.
Steven L. Lopata, CPA, CFE, CAMS
Steve Lopata is a co-founder of EA Compliance, Inc. and serves as President in charge of operations and AML audit services. Mr. Lopata is a Certified Public Accountant and licensed in Illinois and California. He is also a Certified Fraud Examiner, Certified Anti-Money Laundering Specialist, and a Personal Financial Specialist as certified by the AICPA.
His memberships include the following:
- American Institute of Certified Public Accountants,
- Illinois CPA Society,
- Association of Certified Fraud Examiners,
- Association of Certified Anti-Money Laundering Specialists.
His experience in the securities and futures industry goes back to 1975. He was a member and independent floor trader at the Chicago Board of Trade from 1981 through 2001 where he served on the Board's Membership Committee. Mr. Lopata has a degree in Bachelor of Science in Business Administration from Drake University.
Lawrence Schneider, CAMS
Larry Schneider is a consultant for EA Compliance’s AML audit practice services division. He has served as a content consultant to Exchange Analytics. Larry is a Certified Anti-Money Laundering Specialist and is a member of the Association of Certified Anti-Money Laundering Specialists. He has more than 40 years of experience in the securities and futures industry, where he served as National Product Manager for Retail Futures at Morgan Stanley Dean Witter & Co.
Mr. Schneider holds a Bachelor of Arts degree in Economics from Drake University and a Master of Business Administration from DePaul University. He has conducted approximately 200 independent AML audits on firms in the mortgage lending industry since 2013.
Mr. Schneider holds a Bachelor of Arts degree in Economics from Drake University and a Master of Business Administration from DePaul University. He has conducted approximately 200 independent AML audits on firms in the mortgage lending industry since 2013.