Welcome Remarks
Apr 15, 2019 7:30am ‐ Apr 15, 2019 7:40am
Identification: G01
Speaker(s):
- Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
- Rohit Sharma, CAMS, President & Managing Director
Keynote Address and Q&A
Apr 15, 2019 7:40am ‐ Apr 15, 2019 8:10am
Identification: G02
Moderator(s):
- Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
Speaker(s):
- Joseph M. Otting, Comptroller of the Currency, Office of the Comptroller of the Currency
Regulatory Roundtable: Insights on Oversight Directly from Top Regulators
Apr 15, 2019 8:10am ‐ Apr 15, 2019 9:35am
Identification: G03
• Discussing recent global and domestic regulatory developments and offer insight into current AML compliance oversight trends
• Assessing recent US regulatory changes in 2018-19 and their practical impacts on systems, resources and controls
• Reviewing both good and challenging examination trends to improve institution responses and ensure clarity of expectations
Moderator(s):
- John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource
Speaker(s):
- Lisa D. Arquette, CAMS, Associate Director, Division of Risk Management Supervision, Federal Deposit Insurance Corporation (FDIC)
- Noah Bishoff, Director of Regulatory Policy, Office of Regulatory Policy, FinCEN
- Spencer W. Doak, NBE, Director for BSA/AML Policy, Office of the Comptroller of the Currency
Hot Topics: The Issues (and Answers) You Care Most About
Apr 15, 2019 10:05am ‐ Apr 15, 2019 11:15am
Identification: G04
Join our expert panel as they address questions and comments submitted directly by you, the attendees, and provide industry responses to discussion topics from the Regulatory Roundtable. This session provides an open forum and interactive discussion as panelists tackle topics submitted by the audience two weeks before the conference starts. Whether the issue is regtech or regulatory expectations, SARs or cybersecurity, this is your chance to be heard. It’s a frank dialogue of value to anyone involved in AML, compliance or the fight against financial crime.
Moderator(s):
- Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
Speaker(s):
- Susan J. Galli, CAMS, President, Galli AML Advisory, LLC
- Rick McDonell, Former Executive Secretary, Financial Action Task Force (FATF), Executive Director, ACAMS
- Rick A. Small, CAMS, Executive Vice President, Director Financial Crimes Program,, Truist
- William J. Voorhees, CAMS, Senior Vice President, BSA/AML Financial Intelligence Unit Manager, BB&T, Now TRUIST
Wildlife Trafficking: AML Models to Deter Environmental-Linked Financial Crime
Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm
Identification: C01
• Charting common typologies of environmental-related crimes such as endangered species smuggling or trafficking in wildlife subject to harvest quotas including lumber and aquatic species
• Reviewing specific cases involving wildlife-related schemes such as rhino horn smuggling to establish ties between environmental-related trafficking and transnational financial crime organizations
• Familiarizing staff with laws such as END Wildlife Trafficking Act, utilizing resources such as State Department’s “focus countries” at higher risk of wildlife trafficking and establishing protocols for contacting and aiding authorities
Moderator(s):
- David A. Clark, CAMS, Global Head, Surveillance & Professional Excellence, Standard Chartered Bank
Speaker(s):
- Cameron . Field, Senior Manager, AML Intelligence Liaison, AML Financial Intelligence Unit, BMO Financial Group
- Melissa Leeds, CAMS, Data Mitigation Support Specialist, Far Ridgeline Engagements, Inc.
- Stevenson Munro, CAMS, Global Head, Sanctions Compliance, Standard Chartered Bank
- Jeffrey Pedecine, CAMS-FCI, Head of Sanctions, Apple Bank
Lessons Learned from ABLV and Other Major Cases Involving Inadequate Compliance Oversight
Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm
Identification: C02
• Detailing regulatory actions involving insufficient AML infrastructure and its contribution to willful violations and concealment of sanctions laws and the Foreign Corrupt Practices Act
• Reviewing the use of shell companies and disguised identities to camouflage flows of suspicious payments through at-risk channels such as remote branches
• Examining consequences for implicated institutions such as multi-billion dollar fines and ABLV’s liquidation following FinCEN prohibition of correspondent accounts by US banks
Moderator(s):
- Markus Schulz, Global Head of Change Management Financial Crimes Compliance, ING
Speaker(s):
- Rick McDonell, Former Executive Secretary, Financial Action Task Force (FATF), Executive Director, ACAMS
- Karim A. Rajwani, CAMS, Senior Vice President, Chief Operating Officer, Scotiabank
- Dan Stipano, Partner, Buckley LLP
SARs from a Law Enforcement Perspective
Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm
Identification: C03
• Outlining SAR management practices by investigative agencies to gain insights into law enforcement review processes and priorities
• Examining examples of SAR-initiated investigations to gain insights into making SARs of optimal use to law enforcement
• Reviewing best practices for creating and maintaining outreach programs with law enforcement to foster collaborative AML and financial crime prevention efforts
Moderator(s):
- Marcy Forman, CAMS, CGSS, Managing Director, Head of Global Investigations Unit AML Compliance, Citigroup
Speaker(s):
- James C. Barnacle, Chief, Money Laundering, Forfeiture and Bank Fraud, Federal Bureau of Investigation (FBI)
- James A. Candelmo, CAMS, SVP, Chief AML Officer, Capital One Bank
- Meryl Lutsky, Esq., Managing Director, T&M Protection Resources
- Chuck Taylor, CAMS, Executive Vice President, Head of Financial Crimes Advisory, AML RightSource
Choosing an AML Technology Solution - A “How To” for Evaluating and Selecting the Best Fit for Your Institution
Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm
Identification: C04
• Assessing your institution’s need for new or enhanced AML technology solutions
• Key areas of focus to evaluate in narrowing the field of suitable vendors and solutions for your institution
• Vetting potential vendors for expertise in targeted functions and capacity to integrate automated processes with existing legacy systems
• Performing a post-integration audit to assess success of outcomes, identify operational deficiencies and adjust systems or vendor relationship as warranted
Moderator(s):
- Robert L. Curry, CAMS, Executive Vice President, Chief Compliance Officer, KeyBank
Speaker(s):
- William Badinelli, CAMS, Managing Director, Internal Audit, JPMorgan Chase & Co.
- Roxanne Chance-Chin, CAMS, Vice President BSA/AML/OFAC Officer, ServisFirst Bank
- Sarah B. Felix, CAMS, Founder and President, Palmera Consulting
Client Lifecycle Management/KYC Systems: A Guide to Successful Selection and Implementation
Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm
Identification: C05
Presented by LexisNexis Risk Solutions
- Aligning KYC technological capacity and business strategies to minimize compliance costs, strengthen client lifecycle management and enhance franchise value
- Evaluating technology to assess best fit, ease of use and cost of ownership
- Analyzing technological trends and business needs to implement robust KYC systems that are current and strengthen long-term client lifecycle management
Moderator(s):
- Chris Siddons, CAMS, Senior Director, Regulatory Risk and Compliance Solutions , LexisNexis Risk Solutions
Speaker(s):
- Andy Bingenheimer, CAMS, Senior Vice President – Financial Crimes Development, U.S. Bank
- Ben Marsh, Chief Executive, iMeta
- Alfie White, Partner, Global Head of Financial Crime Compliance Practice, Temple Grange Partners
Fighting Financial Crime & Having a Seat at the Table: The Women’s Leadership Perspective
Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm
Identification: C06
Presented by Thomson Reuters
- Assessing key barriers to women’s advancement in the financial and government sectors and learning how to take risks in your career
- Learning what it takes to be a strategic leader in the risk space to fight financial crime effectively
- Communicating your value and elevating your career by finding sponsorship opportunities at work and in the industry, plus locating male allies
Moderator(s):
- Julie DiMauro, Regulatory Intelligence Expert, Thomas Reuters
Speaker(s):
- Shannon Bennett, CRCM, CAMS, Senior Vice President, Financial Crime Compliance Portfolio PMO, U.S. Bank
- Kathy Enstrom, Executive Director of Operations, Policy, and Support, IRS Criminal Investigation
- Debra J. Geister, Manager and CEO, Section 2 Financial Intelligence Solutions
- Michelle Goodsir, Managing Director, K2 Intelligence