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


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


Credits: None available.

Description

Objectives:

  • 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.

Speaker(s):

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

Credits

Credits: None available.

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