Welcome Remarks

Sep 23, 2019 7:50am ‐ Sep 23, 2019 8:05am

Identification: MON01


Keynote Address and Q&A

Sep 23, 2019 8:05am ‐ Sep 23, 2019 8:45am

Identification: MON02


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


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


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


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


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


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


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


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