ACAMS 19th Annual International AML & Financial Crime Conference

Mar 17, 2014 ‐ Mar 19, 2014

For nearly two decades, one of the primary goals of the ACAMS Annual Conference has been to unite the AML community's most influential leaders and provide them a platform to share their knowledge, views and experiences. Backed by a quarter-century of the most reliable, international editorial coverage and breaking headline news, this conference sets the gold-standard as the industry's finest stage for executive-level discussions on money laundering, sanctions, financial crime and regulatory compliance.

Next spring, delegates representing the world's leading banks, securities firms, and government and law enforcement agencies, will gather to assess the global impact of financial crime and offer insight on innovative best practices, methods and trends to mitigate the impact of these offenses on not only financial institutions and related businesses but society as a whole.


Welcome Remarks iconWelcome Remarks

Preview Available

Welcome Remarks

Mar 17, 2014 8:30am ‐ Mar 17, 2014 8:40am

Identification: GS01

  • Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS

Keynote Address iconKeynote Address

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Keynote Address

Mar 17, 2014 8:40am ‐ Mar 17, 2014 9:25am

Identification: GS02


Insights from the Chief Compliance Officer: Addressing Compliance Priorities in Global Financial Institutions

Mar 17, 2014 9:25am ‐ Mar 17, 2014 10:35am

Identification: GS03

  • Balancing conflicting messages from regulators, especially regarding risk avoidance vs. risk-based management
  • Discussing the convergence of AML, fraud, sanctions and corruption and the impact on an institution’s overall operation
  • Overcoming continuous budget hurdles: Allocating and managing limited resources across various compliance areas
  • Fostering a culture of compliance, ethics and corporate governance
  • Conducting business under a Consent Order: Managing its impact on day-to-day compliance efforts, new business initiatives and resource distribution

  • Dan Soto, Chief Compliance Officer, Ally Financial
  • Francine Blackburn, Executive Vice President, Regulatory and Government Affairs and Chief Compliance Officer, Royal Bank of Canada
  • Luciano J. Astorga, CAMS, Chief Compliance Officer, BAC| Credomatic Network
  • Vic Warnement, Executive Vice President and Chief Compliance and Ethics Officer, American Express
  • John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource

Examining Key Themes in Global Enforcement Actions

Mar 17, 2014 11:05am ‐ Mar 17, 2014 12:15pm

Identification: GS04

  • Learning policies and procedures for mitigating risk from domestic and international enforcement actions
  • Dealing with examiners’ heightened expectations for increased sanctions compliance
  • Identifying global expectations for board involvement in compliance
  • Creating an independent AML/anti-financial crime regime
  • Mitigating your personal and institutional exposure to the regulatory risks posed by insufficient AML controls

  • Debra L. Novak, CAMS, CFS, Chief, AML Section, Division of Risk Management Supervision, Federal Deposit Insurance Corporation (FDIC)
  • Jason Gonzalez, Senior Special Counsel, Federal Reserve Board
  • Gerald Cossette, Director, Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)
  • Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
  • Dan Stipano, Partner, Buckley LLP

Hot Topics in AML and Financial Crime

Mar 17, 2014 1:30pm ‐ Mar 17, 2014 2:45pm

Identification: GAC1.1


  • Driven by attendee input, this panel of financial crime prevention executives will offer insight on the latest AML challenges. 
  • From fortifying compliance controls to recent enforcement actions to managing examiner expectations, this interactive session targets specific topics that you nominate just two weeks prior to the conference. Join the discussion and walk away with the most timely and relevant information available.

  • John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource
  • Adam Szubin, Acting Under Secretary, Terrorisn and Financial Intelligence, US Department of the Treasury
  • Chip Poncy, President and Co-Founder, Financial Integrity Network
  • Darren Donovan, Principal, KPMG
  • William J. Fox, Global Financial Crimes Compliance Executive, Bank of America

Examining New Expectations of the AML Audit Function

Mar 17, 2014 1:30pm ‐ Mar 17, 2014 2:45pm

Identification: AUD1.1

  • Meeting regulatory expectations of independent AML audits and overcoming the challenges of reviewing AML programs
  • Managing broad audit responsibilities with limited resources
  • Defining the role of the Quality Assurance team in testing AML operations
  • Tackling the challenge of training auditors to ensure proper understanding of AML policies and procedures


Fighting Corruption in Latin America: What are the Implications for Financial Institutions?

Mar 17, 2014 1:30pm ‐ Mar 17, 2014 2:45pm

Identification: LAT1.1

  • Assessing the impact of recent regulatory changes in the area of anti-corruption
  • Using key indicators to assess the overall corruption environment in jurisdictions where you conduct business
  • Implementing an effective AML scheme: Assessing corruption-related risk and protecting your institution from the laundering of corruption proceeds
  • Exploring lessons learned from recent enforcement actions such as Walmart (Mexico), Alcatel-Lucent (Costa Rica) and Siemens (Argentina)

  • Guillermo Horta, CAMS, Managing Director, Global Financial Crimes Compliance Head for the Americas (GBAM), Bank of America Merrill Lynch
  • Leah Ambler, Anti-Corruption Analyst, Organization for Economic Co-Operation and Development (OECD)
  • Carolina Ceballos, CAMS, Regional Vice President AML-Compliance, The Americas and Europe, Western Union

Understanding International Beneficial Ownership and Tax Transparency Requirements

Mar 17, 2014 1:30pm ‐ Mar 17, 2014 2:45pm

Identification: CAR1.1

  • Adhering to new FATF/OECD obligations regarding beneficial ownership for corporate structures
  • Overcoming the roadblocks in tracking beneficial ownership information
  • Leveraging beneficial ownership information to tackle tax evasion and fraud
  • Demystifying what beneficial ownership means in an AML context and determining next steps in instances when the beneficial owner is not a “natural person”


Taking Risk Management to the Next Level: "De-Risking" Your Institution

Mar 17, 2014 1:30pm ‐ Mar 17, 2014 2:45pm

Identification: GAC1.2

  • Learning what to consider if you determine that doing business with an entity or individual brings high risk to your institution
  • Outlining relevant legal, regulatory and reputational risks associated with ending a relationship with a customer
  • Communicating with your institution’s business units and the customer concerning the decision to close an account
  • Handling law enforcement requests to keep an account open after the institution has decided to end the relationship

  • Robert L. Curry, CAMS, Executive Vice President, Chief Compliance Officer, KeyBank
  • Dennis Ansbro, Global Sanctions Director of the FCIU, Ally Financial
  • Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
  • Chuck Taylor, CAMS, Executive Vice President, Head of Financial Crimes Advisory, AML RightSource

Special Address iconSpecial Address

Preview Available

Special Address

Mar 17, 2014 2:55pm ‐ Mar 17, 2014 4:10pm

Identification: CAR1.2