• Analyzing risk-based methods for adapting beneficial ownership determination policies to balance compliance with CDD Final Rule and delivery of positive consumer experiences
• Appraising effectiveness of staff training in areas such as triggering events and inquiry escalation to ensure awareness of, and conformity to, regulatory and institutional requirements
• Documenting integration of CDD Final Rule into legacy AML systems to facilitate positive examination outcomes and demonstrate strength of culture of compliance
Chief BSA/AML Officer,
Raymond James Financial, Inc.