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ACAMS 15th Annual AML & Financial Crime Conference - Las Vegas


MIT6 - Securities: Overcoming Unique Sanctions Screening Challenges of Securities Firms


Sep 27, 2016 11:05am ‐ Sep 27, 2016 12:20pm

Description

  • Developing risk-based assessments to identify and mitigate trading-relatedsanctions vulnerabilities
  • Using SDN matching systems to enable robust monitoring of sanctioned OFACparties
  • Training staff on geographic, product and client risks to strengthen thesanctions compliance culture
  • Moderator(s):

    • Jeff Horowitz, Managing Director, Global Head of Compliance, Pershing

    Speaker(s):

    • Ann A. Broeker, CAMS, Compliance Leader, International Trade Controls & Economic Sanctions, GE Capital
    • John Davidson, Senior Vice President and Global Head of AML, E-Trade Financial
    • Jack Sonnenschein, CAMS-Audit, Founder and Principal, Compliance Navigation LLC

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