Welcome Remarks
Sep 23, 2019 7:50am ‐ Sep 23, 2019 8:05am
Identification: MON01
Speaker(s):
- Rohit Sharma, CAMS, President & Managing Director
Keynote Address and Q&A
Sep 23, 2019 8:05am ‐ Sep 23, 2019 8:45am
Identification: MON02
Speaker(s):
- Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
- Jonathan Pruzan, Chief Financial Officer, Morgan Stanley
Panel Discussion: What’s New, What’s Next: A Regulatory Roundtable on Compliance Trends and Issues
Sep 23, 2019 8:45am ‐ Sep 23, 2019 10:00am
Identification: MON03
• Reviewing recent and anticipated regulatory changes to facilitate adequate planning in terms of resources, talent acquisition and AML systemic adjustments
• Surveying present-day examination trends to ensure current systems align with regulatory priorities and enhance exam review preparations
• Scrutinizing recent regulatory actions, penalties and guidance to identify evolving regulatory requirements and expectations and adjust oversight accordingly
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
- Lourdes Gonzalez , Assistant Chief Counsel – Sales Practices, Division of Trading and Markets, U.S. Securities and Exchange Commission (SEC)
- Suzanne Williams, Deputy Associate Director, Federal Reserve Board
The Write Stuff: SAR Narratives and How to Master Them
Sep 23, 2019 10:30am ‐ Sep 23, 2019 11:45am
Identification: MON04
• Creating an initial outline of SAR report based on determined facts and nature of suspicious activity to identify germane supporting data and discard irrelevant information
• Identifying key narrative elements such as who, what, when, where, why and how to ensure report provides comprehensive overview of suspicious activity to law enforcement
• Constructing narrative that is complete, sufficient and timely, conforms to FinCEN and FFIEC guidance and conducting pre-filing editing to re-check facts and keep report concise
Moderator(s):
- Christopher Ruzich, JD, CAMS, Director / Senior Manager, Financial Crime Compliance, Standard Chartered Bank
Speaker(s):
- Nicolas E. Khouri, CAMS, Senior Compliance Director, Head of AML Investigations, Ally Bank
- Meryl Lutsky, Esq., Managing Director, T&M Protection Resources
- Robert Schuldes, CAMS, Corporate BSA/AML/OFAC Officer, Financial Intelligence, Associated Bank
- Amanda Tucker, CAMS, Chief Risk & Compliance Officer, Atlantic Bay Mortgage Group
Micro Financing and Maximum Terror: CTF for a Frightening New Era
Sep 23, 2019 10:30am ‐ Sep 23, 2019 11:45am
Identification: MON05
• Charting the shift from formal large-scale terrorism funding networks to micro financing of individuals to outline new detection challenges for AML/CTF programs
• Conducting a terrorist financing risk assessment and optimizing tools such as CDD and social media monitoring to identify and track anomalous transactions and at-risk individuals
• Partnering with local law enforcement to develop training for front-line staff to build awareness of micro financing red flags and aid intelligence gathering across the institution
Moderator(s):
- Dennis M. Lormel, CAMS, President and Chief Executive Officer, DML Associates
Speaker(s):
- Duncan DeVille, CAMS, Senior Vice President, Global Head of Financial Crimes Compliance, Western Union
- Todd Porter, CAMS, Assistant Chief – Strategic Partnerships/Terrorist Financing, Federal Bureau of Investigation
- Frederick Reynolds, Managing Director, Global Head of Financial Crime, Employment and Competition Legal, Barclays
- David Thompson, CAMS, Director, Business Development, Thomson Reuters Special Services, LLC
Lessons Learned from Recent Enforcement Actions and CMPs
Sep 23, 2019 10:30am ‐ Sep 23, 2019 11:45am
Identification: MON06
• Reviewing regulatory penalties for failure to develop appropriate, risk-based AML programs, systemic gaps such as lax CDD and non-remediation of existing consent orders
• Assessing SEC action involving transparency lapses such as misleading advisory clients on pricing and services and failure to disclose conflicts of interest
• Analyzing OCC actions requiring appointment and maintenance of compliance committees, director training on risk management practices and required look-backs
Moderator(s):
- Bob Molloy, CAMS, Chief BSA/AML Officer, Raymond James Financial
Speaker(s):
- Stephanie Brooker, Partner, Gibson Dunn
- Megan D. Hodge, CAMS, Executive Compliance Director, BSA/AML Officer, Ally Bank
- Elizabeth Davy, Partner, Sullivan & Cromwell
- Dan Stipano, Partner, Buckley LLP
Bolstering Your AML Case Management Systems
Sep 23, 2019 10:30am ‐ Sep 23, 2019 11:45am
Identification: MON07
• Developing internal alert triage system to determine urgency and seriousness of alerts, dispatch false positives and escalate those requiring further evaluation
• Creating workflows that utilize in-house investigators and/or data analytics to conduct risk assessments using standardized processes and produce metrics-driven risk evaluations
• Analyzing risk-based review and taking responsive actions such as closing the case, electing to file SAR and/or exiting account
Moderator(s):
- Maleka Ali, CAMS-Audit, President , Arc-Serv, LLC
Speaker(s):
- Roy D'sa, CAMS, Executive Vice President, Chief BSA Officer, Huntington National Bank
- Brian Ferro, Global Product Manager, AML/BSA Compliance, BAE Systems
- Timothy C. McNeill, CAMS, Managing Director, Anti-Financial Crimes, Deutsche Bank
- Zachary C. Miller, CAMS-FCI, Vice President/BSA Officer, Mid Penn Bank
KYD: What You Need to Know About “Know Your Data”
Sep 23, 2019 10:30am ‐ Sep 23, 2019 11:45am
Identification: MON08
• Defining “Big Data” to highlight potential benefits of utilizing digital footprints and data-driven tracking in areas such as KYC, CIP and beneficial ownership determination
• Delineating differences between structured, unstructured and semi-structured data to chart AML applications and address challenges such as searchability and data harvesting
• Analyzing how data lakes are created, managed and secured to aid, as needed, compliance functions such as alert investigations and risk-based assessments of entities
Moderator(s):
- Sarah B. Felix, CAMS, Founder and President, Palmera Consulting
Speaker(s):
- Kevin Bogdanov, Director, Risk Market Development, Refinitiv
- James A. Candelmo, CAMS, SVP, Chief AML Officer, Capital One Bank
- Rick Hutley, Program Director and Professor of Practice, Data Science Masters Program, University of the Pacific
- Michael S. Schidlow, CAMS-Audit, Expert Consultant in Financial Crime Compliance
Getting Fintech Oversight Right
Sep 23, 2019 10:30am ‐ Sep 23, 2019 11:45am
Identification: MON09
• Developing metrics to guide individualized risk assessments of fintech entities to confirm conformity to institutional risk appetite standards and rationally allocate AML resources
• Training front-line staff and downstream managers on fintech business models to build awareness of unique risks and create effective alert generation and response models
• Conducting AML audits of fintech clients to establish strength of controls, rigor of responses to red flags and effectiveness in meeting requirements for CTR and SAR filings
Moderator(s):
- Melissa Strait, CAMS, Global Head of Financial Crimes, Stripe
Speaker(s):
- Aaron Blankenstein, Chief Compliance Officer, WebBank
- Amelia Childress, Capital and International Compliance Lead, Square
- Robert L. Curry, CAMS, Executive Vice President, Chief Compliance Officer, KeyBank
- Jose Gonzalez, Strategy and Innovation, Global Head - Payments Compliance, Google
Fighting Crime with Big Data & Information Sharing: Global Perspectives and Domestic Case Studies
Sep 23, 2019 10:30am ‐ Sep 23, 2019 11:45am
Identification: MON10
Presented by Verafin
• Examining public-private and private-private information sharing frameworks from around the globe
• Reviewing case studies of 314(b) information sharing initiatives and consortium investigations to combat connected criminal activity
• Leveraging big data, artificial intelligence and information sharing to build a better model for financial crime detection
Moderator(s):
- Rick McDonell, Former Executive Secretary, Financial Action Task Force (FATF), Executive Director, ACAMS
Speaker(s):
- Nick J. Maxwell, Head of the Future of Financial Intelligence Sharing (FFIS) research programme, RUSI Centre for Financial Crime and Security Studies
- Brendan Brothers, Co-founder, Anti-Financial Crime Expert, Verafin
- Nicholas Schumann, US Head of Engagement, Financial Crime Threat Mitigation, HSBC