ACAMS 13th Annual AML & Financial Crime Conference

Sep 29, 2014 ‐ Oct 1, 2014

Welcome Remarks

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Welcome Remarks

Sep 29, 2014 9:00am ‐ Sep 29, 2014 9:15am

Identification: GS01

• Ted Weissberg, CAMS, Chief Executive Officer, ACAMS
• John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource

Examining Key Initiatives from Law Enforcement Agencies

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Examining Key Initiatives from Law Enforcement Agencies

Sep 29, 2014 9:45am ‐ Sep 29, 2014 11:00am

Identification: GS03

• Bridging the gap between law enforcement and financial institutions
• Analyzing trends and criminal patterns from recent case investigations
• Supporting the latest law enforcement initiatives to combat financial crime
• Responding to recent financial system abuse by virtual currencies and marijuana related businesses

• Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
• John G. Collins, Special Agent in Charge, Internal Revenue Service (IRS) - Criminal Investigation
• Joseph Burke, Unit Chief, National Bulk Cash Smuggling Center, Illicit Finance, Narcotics and Special Operations Division, Homeland Security Investigations (HSI)
• Bryan P. Smith, Unit Chief, Financial Institution Fraud Unit, Criminal Investigative Division, Federal Bureau of Investigation (FBI)

Special Presentation

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Special Presentation

Sep 29, 2014 11:30am ‐ Sep 29, 2014 12:00pm

Identification: GS04

• Peter Harrell, Deputy Assistant Secretary for Counter Threat Finance and Sanctions; Bureau of Economic and Business Affairs, US Department of State

[Case Study] TBML Update: Examining Emerging Threats and Recent Cases

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[Case Study] TBML Update: Examining Emerging Threats and Recent Cases

Sep 29, 2014 1:15pm ‐ Sep 29, 2014 2:30pm

Identification: ID1

• Incorporating export controls violations intelligence into AML risk assessments
• Pinpointing lessons learned from recent real-life cases involving commodities and car selling schemes
• Promoting information sharing and collaboration with law enforcement to identify suspicious activities
• Reviewing FATF's typologies and guidance on TBML

• Martin Cunningham, Global Head, Correspondent Banking Due Diligence, Deutsche Bank
• Tanya Montoya, Senior Product Development Manager, ACAMS
• Hector X. Colon, Unit Chief, Financial, Narcotics and Special Operations Division, Trade Transparency Unit, ICE Homeland Security Investigations
• Marcy Forman, CAMS, CGSS, Managing Director, Head of Global Investigations Unit AML Compliance, Citigroup

Leveraging Quality Control Processes to Satisfy Audit Requirements

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Leveraging Quality Control Processes to Satisfy Audit Requirements

Sep 29, 2014 1:15pm ‐ Sep 29, 2014 2:30pm

Identification: AUD1

• Elevating quality control procedures to meet supervisory guidance and internal audit standards
• Improving your quality control review process to address key BSA risk
• Ensuring audit and quality control coverage is sufficient to meet regulatory expectations
• Recognizing cost savings and efficiency by eliminating dual reviews
• Involving the compliance function during reviews to provide guidance and collaboration

• Brent S. Bramwell, CAMS, CIA, CFSA, CRMA, Global Head of Internal Audit, PayPal
• Kenneth B. Simmons, CRCM, CAMS-Audit, FCI, Chief Executive Officer, Compliance & AML Solutions
• Jack Oskvarek, CAMS, CAFP, AMLP, Senior Vice President, BSA Executive Director, Wintrust Financial Corporation
• Amanda Pilcher, CAMS, OFAC/ FCPA Officer, Raymond James Financial

Advancements in the Adoption of Model Risk Practices in BSA/AML Compliance - Presented by SAS

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Advancements in the Adoption of Model Risk Practices in BSA/AML Compliance - Presented by SAS

Sep 29, 2014 1:15pm ‐ Sep 29, 2014 2:30pm

Identification: SP1

Since the FFIEC agencies began applying the OCC's Supervisory Guidance on Model Risk Management (OCC 2011-12) to Bank Secrecy Act / Anti-Money Laundering compliance practices during 2012, U.S. financial institutions have adopted more rigorous use of analytics, testing, and governance. This session will highlight best practices in Model Tuning & Optimization.

Topics covered will include:

• Relationship between Risk Appetite and MRM practices
• Discussion of how AML models have been integrated in broader enterprise MRM processes
• Skills and processes required to support practices in-house
• Lessons learned from regulatory reviews
• Challenges and changes in the AML model tuning & management
• Big data and visualization technologies to speed the process of tuning & optimization
• Emerging practices for automating prioritization and triage of work items

• Graham Bailey, Director of Anti-Bribery & Corruption Program and Financial Crimes Analytics, Wells Fargo Bank
• David Stewart, CAMS, Business Director, Security Intelligence Solutions, Banking Security Intelligence Practice, SAS

Optimizing Your Sanctions Risk Management Program - 1

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Optimizing Your Sanctions Risk Management Program - 1

Sep 29, 2014 1:15pm ‐ Sep 29, 2014 2:30pm

Identification: RM1

• Evaluating your sanctions risk exposure
• Leveraging AML resources to strengthen sanctions controls
• Applying intelligence from recent case settlements to strengthen your monitoring practices
• Understanding regulatory priorities around cash letters, exchange and trade houses, and custody accounts
• Maintaining a dynamic sanctions program that adapts to an evolving financial and political environment

• Lorraine B. Lawlor, CAMS, Senior Vice President, Global Sanctions Governance Director, Wells Fargo Bank
• Salvatore Scotto, CAMS, Senior Vice President, Legal and Compliance, Head of Sanctions, Bank of China
• John Solomon, Director of Threat Finance Research, Thomson Reuters
• Robert L. Curry, CAMS, Executive Vice President, Chief Compliance Officer, KeyBank

MSB Focus: Uncovering Emerging Financial Crime Schemes

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MSB Focus: Uncovering Emerging Financial Crime Schemes

Sep 29, 2014 1:15pm ‐ Sep 29, 2014 2:30pm

Identification: MI1

• Spotting abuse of MSB financial channels for narco-funding and illegal use of virtual currencies
• Identifying high-risk clients and jurisdictions to update monitoring practices
• Mitigating the risks of conducting business in the US Southwest border
• Fortifying AML programs and complying with regulatory expectations

• Frank Lawrence, CAMS, Global Head of Payments Compliance, Chief Compliance Officer, Facebook
• Duncan DeVille, CAMS, Senior Vice President, Global Head of Financial Crimes Compliance, Western Union
• Stephenie Lord Eisert, Assistant Special Agent in Charge, Homeland Security Investigations, DHS

Trouble on the I-95 Corridor - The Illicit Movement of People, Drugs, Goods and Cash

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Trouble on the I-95 Corridor - The Illicit Movement of People, Drugs, Goods and Cash

Sep 29, 2014 1:15pm ‐ Sep 29, 2014 2:30pm

Identification: CH1

The I-95 Corridor connects the largest cities in the Northeast. It also provides an efficient and direct route for criminal groups to transport the proceeds of crime through several states in a matter of hours. This presents a unique problem for both law enforcement and financial institutions as they strive to identify, investigate, and curtail these illegal activities. This session will describe four major types of smuggling along this corridor and provide insight for financial institutions tracking transactions flowing down the highway.

In particular, the session will focus on:
The movement of people – human and labor trafficking
The movement of drugs – medical marijuana to heroin
The movement of goods – tobacco, fuel, and counterfeit items
The movement of cash – online gambling, drugs, and check cashing

• Darrin McLaughlin, CAMS, AML Advisory Lead, Financial Intelligence Unit and Fraud, Capital One
• Denise M. Wright, CAMS, Bank Secrecy Act and Sanctions Compliance Officer, Rabobank International and Rabo Securities USA
• Meryl Lutsky, Esq., Managing Director, T&M Protection Resources

Optimizing AML Program Management Oversight Across the Enterprise

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Optimizing AML Program Management Oversight Across the Enterprise

Sep 29, 2014 3:00pm ‐ Sep 29, 2014 4:15pm

Identification: CS2

• Assigning accountability for enforcing the AML program within your institution
• Providing AML guidance to business lines and mitigating new client and product risks
• Including mergers and acquisitions as an integral part of your AML program
• Establishing a comprehensive enterprise-wide monitoring and client information gathering system

• Derek Ramm, Vice President, MT-Play
• Peter Neilson, CAMS, Managing Director, AML Compliance, JPMorgan Chase
• Jeanne H. Thurman, CAMS, Director, AML Compliance Executive, Global Financial Crimes Compliance (GFCC), Bank of America
• Carlos Garcia-Pavia, Director, Market Planning - AML Compliance, LexisNexis Risk Solutions