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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


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


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


  • 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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