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ACAMS moneylaundering.com 23rd Annual International AML & Financial Crime Conference - Hollywood

C30 - Strengthening AML Programs at Securities Firms

Apr 10, 2018 3:05pm ‐ Apr 10, 2018 4:20pm


• 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



  • 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

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