ACAMS 17th Annual AML & Financial Crime Conference - Las Vegas

WED27 - Internal Affairs: Strengthening AML Audits and Reviews

Oct 3, 2018 3:45pm ‐ Oct 3, 2018 5:00pm


Description

• Defining goal of audit outcomes based on inputs such as institutional profile, current regulatory requirements and risk management in areas such as CIP/KYC/CDD
• Profiling discrete units based on factors such as geographic exposure and product line risks to gain management buy-in and properly test for unit-specific risks
• Analyzing audit results to identify and resolve issues with AML oversight in areas such as transaction monitoring, alert responses and management of high-risk entities

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