AUD1.1 - Examining New Expectations of the AML Audit Function

Description

• 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

Speaker(s):

• James A. Candelmo, CAMS, SVP, Chief AML Officer, Capital One Bank
• Jack Sonnenschein, CAMS-Audit, Founder and Principal, Compliance Navigation LLC
• Daniel E. Harris, Head of Compliance Assurance, RBS Americas, Royal Bank of Scotland