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• Training managers to observe potential employee misconduct red flags, such as not filing SARs on alerts or ignoring irregular transaction patterns • Augmenting oversight of at-risk accounts through dual control management and random client transaction audits • Formalizing processes for documenting investigations to protect institutional legal interests and serve as a potential law enforcement resource
Speaker(s):
Marcy
Balle,
CAMS,
Senior Vice President, Financial Intelligence Unit Manager,
MB Financial Bank
