Negative News, Positive Results: Optimizing Adverse Media Searches
Oct 3, 2018 2:45pm ‐ Oct 3, 2018 4:00pm
Identification: WED25
• Vetting potential providers of negative news services to create comprehensive searches tailored to meet unique institutional needs
• Analyzing negative news search results to assess veracity, quantify potential risks and support decisions regarding onboarding, monitoring and account exiting
• Auditing search protocols and results to verify methodologies are properly serving AML needs and adjust search parameters as institutional needs, data sources and vendor capabilities evolve
Speaker(s):
- Timothy Cullen, CAMS, MBA, Chief Anti-Money Laundering Compliance Officer, INTL FC Stone
- Stuart Davis, CAMS, Global Head, Financial Crimes Risk Management, Scotiabank
- Karim A. Rajwani, CAMS, Senior Vice President, Chief Operating Officer, Scotiabank
- John Sabatini, Principal, PwC
- Anthony J. Tricaso, CAMS, Senior Vice President, BSA Officer, Axos Bank
Gold Diggers: Behind the Elemetal Money Laundering Case
Oct 3, 2018 2:45pm ‐ Oct 3, 2018 4:00pm
Identification: WED26
• Reviewing plea deals of former employees of Elemetal subsidiary to track how conspiracy to purchase illegally mined and smuggled gold aided narco traffickers
• Analyzing how Elemetal’s trading of gold facilitated laundering billions of dollars in criminal proceeds
• Examining Elemetal’s legal settlement to identify role of lax senior management, willful blindness to gold origins and corporate failure to maintain required AML programs
Moderator(s):
- Greg Fields, CAMS, Content Analyst, ACAMS
Speaker(s):
- Jason Chorlins, CPA, CFE, CITP, CIS, CAMS, Principal Banking Practice Leader, Risk Advisory Services, Kaufman, Rossin & Co.
- Catherine LaFalce, Global Anti-Money Laundering Compliance Risk Management (ACRM) Head, Markets and Banking, Citigroup
- Raymond Villanueva, Special Agent in Charge, Homeland Security Investigations
Internal Affairs: Strengthening AML Audits and Reviews
Oct 3, 2018 2:45pm ‐ Oct 3, 2018 4:00pm
Identification: WED27
• 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):
- Peter D. Wild, CAMS-Audit, Founder, Wild AML Solutions
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
Sanctions Update: Keeping in Step with the Latest Sanctions Changes
Oct 3, 2018 2:45pm ‐ Oct 3, 2018 4:00pm
Identification: WED28
• Reviewing latest sanctions changes involving North Korea, Cuba, Venezuela and Russia to update watch lists and communicate new regulatory requirements to front line
• Screening for trade-related sanctions risks including dual-use goods and sectoral sanctions to ensure compliance with regulatory expectations
• Differentiating US and non-US sanctions regimes to identify divergences and reconcile cross-jurisdictional conflicts
Moderator(s):
- Timothy White, CAMS, Business Development and Regulatory Specialist, Banker’s Toolbox
Speaker(s):
- Kim Lacey, Chief AML Officer, KeyBank
- Lorraine B. Lawlor, CAMS, Senior Vice President, Global Sanctions Governance Director, Wells Fargo Bank
- Jacqueline Shinfield, Partner, Blake, Cassels & Graydon LLP
- Daniel Tannebaum, Partner - Americas Anti-Financial Crime Practice Leader and Global Head of Sanctions, Oliver Wyman
Securities Spotlight: Regulatory Trends Including FINRA Enforcement Actions, FINRA360 and SEC National Exam Program Priorities
Oct 3, 2018 2:45pm ‐ Oct 3, 2018 4:00pm
Identification: WED29
• Analyzing FINRA fines related to deficient AML programs to identify potential risks linked to lax oversight of red flags and suspicious activities.
• Reviewing the FINRA360 AML Exam Findings section of the report to discern trends in areas such as risk-based approaches to exam’ expectations regarding adequate resourcing and testing of AML programs.
• Learning about the SEC’s Office of Compliance Inspections and Examinations CDD Final Rule expectations on issues such as understanding nature and purpose of accounts.
Speaker(s):
- John Davidson, Senior Vice President and Global Head of AML, E-Trade Financial
- Bob Molloy, CAMS, Chief BSA/AML Officer, Raymond James Financial
- Jeffrey A. Weiss, CAMS, Chief Anti-Money Laundering Officer, TD Ameritrade
- Bob Skrzypczak, Principal, KPMG
- Meg R. Zucker, Managing Director, AML Officer, RBC Capital Markets
Robotics and AML: Combat Increasing Regulatory and Operational Demand
Oct 3, 2018 2:45pm ‐ Oct 3, 2018 4:00pm
Identification: WED30
Presented by Fiserv
• Understand the current trends in robotics in AML
• Learn how robotics can improve your risk mitigation process
• How to build robotics into your process
Speaker(s):
- Lori Achatz, Assistant Vice-President, Regulatory Compliance and Money Laundering Reporting, Sun Life Financial
- Andrew Davies, CAMS, Vice President, Global Market Strategy, Financial Crime Risk Management, Fiserv
- Lori Hough, Director, Regulatory Compliance, Sun Life Financial Canada Compliance
Advantages of Using Managed Analytics as Part of Your Financial Crime Platform
Oct 3, 2018 2:45pm ‐ Oct 3, 2018 4:00pm
Identification: WED31
Presented by BAE Systems
A BAE Systems panel will discuss the role of analytics in reducing compliance costs and strengthening oversight accuracy. The panel will explore two major themes: Utilizing technology to reduce false positives, and achieving operational efficiencies through combining fraud and AML teams into a single solution. Major learning objectives include:
• Reducing false positives with strategic tech-based solutions versus internal staff additions or external consulting partnerships
• Analyzing best practices for integrating managed analytics into your vendor’s financial crime platform
• Reviewing the latest trends in new technologies that target and fight financial crime
Moderator(s):
- Richard Graham, Head of Business Solutions Consulting, BAE Systems
Speaker(s):
- Brian Ferro, Global Product Manager, AML/BSA Compliance, BAE Systems
- Meghan Palanza, CAMS, Lead Business Consultant, BAE Systems
Opening Remarks and ACAMS Awards Ceremony
Oct 4, 2018 8:00am ‐ Oct 4, 2018 8:20am
Identification: THU01
Speaker(s):
- Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
Special Presentation and Q&A
Oct 4, 2018 8:20am ‐ Oct 4, 2018 8:50am
Identification: THU02
Moderator(s):
- Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
Speaker(s):
- Don Fort, Chief, Criminal Investigation, Internal Revenue Service
Recent Enforcement Actions: Lessons Learned on Culture of Compliance and Governance
Oct 4, 2018 8:50am ‐ Oct 4, 2018 10:05am
Identification: THU03
• Analyzing Federal Reserve and OCC actions to detail new paradigms for management governance, board independence and managing risks of sales performance pressures
• Reviewing FinCEN penalties to identify regulatory risks of weak AML funding, lax oversight of high-risk clients and compromising oversight actions such as “alert capping”
• Scrutinizing cases including liquidation of ABLV Bank of Latvia for lessons learned on impeding examinations, obstructing regulators and the need for rigorous oversight of correspondent banking and geopolitical risks
Moderator(s):
- Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
Speaker(s):
- Susan J. Galli, CAMS, President, Galli AML Advisory, LLC
- Marilú Jiménez, Esq., CAMS, Founder and President, Financial Intelligence Network & Compliance Advisors (FINCAdvisors)
- Dan Soto, Chief Compliance Officer, Ally Financial
- Dan Stipano, Partner, Buckley LLP
- Richard Weber, Managing Director, Americas Head of Financial Crime, UBS