Assessing, Identifying and Managing Higher-Risk Accounts and Entities

Formalizing policies and operational controls for high-risk entities to mitigate risks linked to PEP exposure, cross-border transactions and beneficial ownership
Balancing automated surveillance screening systems for high-risk clients with data protection compliance
Interpreting current beneficial ownership and transparency requirements, including risk scoring and name scanning
Training staff to handle high-risk accounts from onboarding to enhance due diligence and beyond consistent with their financial institutions’ risk appetite
Integrating National Risk Assessment updates in policies and procedures

Gene DiMira, CAMS, Director Compliance, Cdn Compliance Shared Services, Manulife Financial
Jennifer Fiddian-Green, Partner, Advisory Services National AML and Financial Services Partner Managing Partner Forensics , Grant Thornton

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