Amplifying Information Sharing with Correspondent Relationships to Effectively Manage Risk

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

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

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MD07 - Amplifying Information Sharing with Correspondent Relationships to Effectively Manage Risk