SEC2.3 - Securing, Training and Managing Third-Party Compliance Service Providers

Description

Objectives: 

• Examining the risks and benefits of working with third-party service providers
• Implementing organizational controls and creating a checklist to successfully manage third party vendors
• Ensuring your offshored or outsourced program meets global requirements regarding privacy and data sharing
• Implementing quality assurance measures to protect your firm’s reputation and avoid regulatory criticism

Speaker(s):

• Vasilios Chrisos, CAMS, Principal, PwC
• Michelle J. Neufeld, AML Expert, Executive Vice President, Control Leader FIG and international, Wells Fargo
• Meg R. Zucker, Managing Director, AML Officer, RBC Capital Markets
• Sterling Daines, Vice President, Goldman Sachs & Co.