Know Your Employee: Best Practices to Thwart Internal Malfeasance

Apr 12, 2016 2:55pm ‐ Apr 12, 2016 4:10pm


Description

• Training managers to observe potential employee misconduct red flags, such as not filing SARs on alerts or ignoring irregular transaction patterns

• Augmenting oversight of at-risk accounts through dual control management and random client transaction audits

• Formalizing processes for documenting investigations to protect institutional legal interests and serve as a potential law enforcement resource

Speaker(s):

  • Michael Grossman, CAMS, BMO Financial Group
  • Jeffrey Johnston, CAMS, Senior Vice President, Global AML Compliance, Northern Trust
  • Marcy Balle, CAMS, Senior Vice President, Financial Intelligence Unit Manager, MB Financial Bank
  • Michelle J. Neufeld, AML Expert, Executive Vice President, Head of Compliance and Operational Risk FIG, Wells Fargo

You must be logged in and own this session in order to post comments.

Print Certificate
Review Answers
Print Transcript
Completed on: token-completed_on
Review Answers
Please select the appropriate credit type:
/
test_id: 
credits: 
completed on: 
* - Indicates answer is required.
token-content
token-index
token-content
token-index
token-content
token-index
token-content
token-index
token-content
token-index
token-content
token-index
token-content
/
/
token-index
token-content