C30 - Strengthening AML Programs at Securities Firms

Description

• Creating AML surveillance models that align interests of all relevant stakeholders and constituencies
• Leveraging lessons from recent cases to enhance training, ensure staff is proactive on AML issues and foster a culture of compliance
• Providing adequate resources for AML oversight and designating compliance leader to oversee communication, training and SAR filing

Moderator(s):

• Meg R. Zucker, Managing Director, AML Officer, RBC Capital Markets

Speaker(s):

• Brandon Lee, Associate Managing Director, K2 Intelligence
• Steven D. Trigili, CAMS, Chief Compliance Officer, Garden State Securities
• Daniel Wager, CAMS, Vice President, Financial Crime Compliance, LexisNexis Risk Solutions