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
Moderator(s):
Speaker(s):
- Nicolas
E. Khouri,
CAMS,
Senior Compliance Director, Head of AML Investigations,
Ally Bank
- Rebecca
S. Robertson,
CAMS-Audit, CFE,
Executive Vice President, Director of AML Compliance,
South State Bank
- Pablo
Ottado,
Chief Auditor AML & Sanctions,
Citibank
