Description
• 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
- Michael
Grossman,
CAMS,
BMO Financial Group
- Jeffrey
Johnston,
CAMS,
Senior Vice President, Global AML Compliance,
Northern Trust
- Michelle
J. Neufeld,
AML Expert,
Executive Vice President, Control Leader FIG and international,
Wells Fargo
