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.


Welcome Remarks iconWelcome Remarks

Preview Available

Welcome Remarks

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

Identification: MD01

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

Keynote Address Morning iconKeynote Address Morning

Preview Available

Keynote Address Morning

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

Identification: MD02


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

  • 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

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

  • 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

Keynote Address iconKeynote Address

Preview Available

Keynote Address

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

Identification: MD05

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

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

  • 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

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

  • 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

Closing Remarks iconClosing Remarks

Preview Available

Closing Remarks

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

Identification: MD08