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

FRI04 - Ace that Exam: Best Practices to Prepare for a Regulatory Exam

Oct 5, 2018 11:20am ‐ Oct 5, 2018 12:30pm


This fast-paced and informative session is for anyone who has ever experienced anxiety, or lost sleep, over an upcoming BSA/AML examination. The expert panelists will provide specific details on topics such as conducting a pre-exam risk assessment, presenting formal remediation plans to examiners, or updating your BSA program policy to ensure it incorporates the latest standards. It’s a vitally important and can’t-miss session, brimming with practical advice from AML veterans who, when it comes to exams, have been there, done that – and will show you how to do it better.
• Documenting updated training tailored for specific lines of business, and preparing LOB leaders to discuss management commitment to first line of defense
• Validating internal controls for issues such as high-risk client monitoring to affirm second line of defense strength and self-disclosing identified gaps and resolution plans
• Substantiating activities of internal audit to confirm empowered third line of defense and demonstrate enterprise-wide culture of compliance


  • Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS


  • Jason A. Frantz, CAMS, Senior RCA Manager - AML, US Bank
  • Sarah Green, Global Head of Financial Crimes, The Vanguard Group
  • Kimani Rogers, CAMS, Executive Director – Global KYC Audit Manager, JPMorgan Chase & Co.
  • Chuck Taylor, CAMS, Executive Vice President, Head of Financial Crimes Advisory, AML RightSource

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