ACAMS 2nd Annual AML Risk Management Conference

Jan 27, 2014 ‐ Jan 27, 2014

Increased scrutiny of AML risk management programs across some of the nation's largest financial institutions has shed light on the demand for financial institutions to perform more granular risk assessments with reportable analysis. A proper risk assessment is essential for restructuring and implementing sound risk-based policies, procedures and controls; steering clear of monetary and reputational damage has never been more crucial.

In its second year, the ACAMS AML Risk Management Conference returns to New York City with a one-day intensive training program that provides clarification on stringent regulatory expectations, insight into the latest best practices, and access to in-depth discussions of the AML risk management challenges that most affect your business.

Sessions

Preview Available

Welcome Remarks

Jan 27, 2014 8:30am ‐ Jan 27, 2014 8:45am

Identification: MD01

Speaker(s):

John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource
Rick A. Small, CAMS, Executive Vice President, Director Financial Crimes Program,, Truist

Preview Available

Keynote Address Morning

Jan 27, 2014 8:45am ‐ Jan 27, 2014 9:15am

Identification: MD02

Speaker(s):

Benjamin M. Lawsky, Superintendent, New York State Department of Financial Services

Preview Available

Applying Lessons Learned from Recent Enforcement Actions to Refine your AML Risk Assessment Process

Jan 27, 2014 9:15am ‐ Jan 27, 2014 10:30am

Identification: MD03

Learning Objectives:

Reviewing customer risk ratings and adjusting risk profiles to create the proper risk classification
Establishing risk remediation for customers and products at all levels
Using proper metrics and analytics to prove to examiners that your risk assessment processes are appropriate for your financial institution
Providing relevant documentation to senior management to ensure support for your institution's AML risk management efforts

Speaker(s):

Suzanne Williams, Deputy Associate Director, Federal Reserve Board
Sarah Green, Global Head of Financial Crimes, The Vanguard Group
John Wagner, CAMS, NBE, Managing Director, Deloitte Risk and Financial Advisory
James Wistman, CAMS, Head of Operations Risk and Compliance, National Australia Bank
John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource

Preview Available

Integrating AML Risk Assessments into Your Transaction Monitoring Process

Jan 27, 2014 11:00am ‐ Jan 27, 2014 12:15pm

Identification: MD04

Learning Objectives:

Analyzing alerts to ensure the results are aligned with customer, product and geographic risk ratings
Evaluating the appropriate frequency for tuning control settings
Linking multiple system monitoring practices from various products and services
Assessing whether transaction monitoring results will affect the next round of assessments

Speaker(s):

Michael M. Wassell, Vice President, Compliance Surveillance Strategy Group, Transaction and Market Surveillance Group, Goldman Sachs
Jack Sonnenschein, CAMS-Audit, Founder and Principal, Compliance Navigation LLC
Jason Vasquez, CAMS, Senior Vice President, BSA/AML Compliance Officer, Sterling National Bank
James C. Lacovara, Chief Compliance Officer, HSH Nordbank
Tanya Montoya, Senior Product Development Manager, ACAMS

Preview Available

Keynote Address

Jan 27, 2014 1:30pm ‐ Jan 27, 2014 2:00pm

Identification: MD05

Speaker(s):

Preet Bharara, United States Attorney for the Southern District of New York, United States Attorney's Office

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Building and Sustaining a Framework for Enterprise-Wide AML Risk Assessment

Jan 27, 2014 2:00pm ‐ Jan 27, 2014 3:15pm

Identification: MD06

Learning Objectives:

Enhancing your institution's internal controls on policies and procedures to generate consistent analysis results
Evaluating your institution's frequency of risk analysis to determine how risks should be managed
Creating greater transparency in corporate governance and reporting that useful to all stakeholders
Identifying best practices for incorporating systemic AML risks into your institution's broader risk management process

Speaker(s):

Meg R. Zucker, Managing Director, AML Officer, RBC Capital Markets
Susan J. Galli, CAMS, President, Galli AML Advisory, LLC
James De Rugeriis, CAMS, Director, Compliance Ethics, Enterprise AML and Financial Intelligence Unit, American Express
Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS

Preview Available

Amplifying Information Sharing with Correspondent Relationships to Effectively Manage Risk

Jan 27, 2014 3:45pm ‐ Jan 27, 2014 5:00pm

Identification: MD07

Learning Objectives:

Communicating with correspondent relationships to resolve conflicting regulatory, legal and policy roadblocks
Managing correspondent relationships for proper due diligence procedures to ensure quality information is required to detect and monitor suspicious activity
Addressing the challenges of seeking audit rights from correspondent relationships to ensure adequate policies and controls are in place
Responding to bank requests for policeis, monitioring processes or ruler, and tinternal audit findings

Speaker(s):

Rick A. Small, CAMS, Executive Vice President, Director Financial Crimes Program,, Truist
Arthur D. Middlemiss, Esq., CAMS, Partner, Lewis Baach PLLC
Daniel Wager, CAMS, Vice President, Financial Crime Compliance, LexisNexis Risk Solutions
Susan Tuccillo, CAMS, Senior Vice President, Head of Compliance, Nordea Bank

Preview Available

Closing Remarks

Jan 27, 2014 5:00pm ‐ Jan 27, 2014 5:15pm

Identification: MD08

Speaker(s):

John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource