Keynote Address
Sep 25, 2017 8:15am ‐ Sep 25, 2017 8:45am
Identification: MON02
Speaker(s):
- Fred Kaplan, Best-Selling Author, Dark Territory, The Secret History of Cyber War
Insights On Oversight: A Regulatory Roundtable on AML Trends and Issues
Sep 25, 2017 8:45am ‐ Sep 25, 2017 10:00am
Identification: MON03
• Reviewing current positive and negative examination trends to ensure proper staff training and exam preparation
• Analyzing recent and upcoming regulatory changes impacting compliance functions
• Scrutinizing recent regulatory guidance and actions to identify practical lessons to improve AML management
Speaker(s):
- Spencer W. Doak, NBE, Director for BSA/AML Policy, Office of the Comptroller of the Currency
- Christine Ring, CAMS, Managing Director of AML/ ATF Assessment Program, AML and Compliance Division, Office of the Superintendent of Financial Institutions (OSFI)
- John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource
- Sarah Green, Global Head of Financial Crimes, The Vanguard Group
- Andrea Sharrin, Associate Director, Policy Division, Financial Crimes Enforcement Network (FinCEN)
- Rick A. Small, CAMS, Executive Vice President, Director Financial Crimes Program,, Truist
- Suzanne Williams, Deputy Associate Director, Federal Reserve Board
New York State of Mind: Analyzing the National Implications of NYDFS 504
Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am
Identification: MON04
- Assessing the potential enhancements needed to any existing AML program to meet the new standard set by the Rule 504 annual certification requirement, including those not regulated by the NYDFS
- Adjusting approaches to data management, issue management, risk assessment and independent testing
- Discussing the implications of Rule 504 in respect to personal liability
Speaker(s):
- Maleka Ali, CAMS-Audit, President , Arc-Serv, LLC
- Peter D. Wild, CAMS-Audit, Founder, Wild AML Solutions
- Meryl Lutsky, Esq., Managing Director, T&M Protection Resources
The Numbers Game: Developing Quantitative Metrics to Elevate Risk Assessment Accuracy
Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am
Identification: MON05
• Developing and assigning numeric values to AML risks to attain quantifiable client assessment outcomes
• Testing data-driven assessment models to ensure systemic integrity and accurate risk analysis
• Tailoring quantitative AML risk models for unique business lines to optimize relevance and usage throughout enterprise
Speaker(s):
- John F. Caruso, Principal, KPMG
- Tanya Montoya, Senior Product Development Manager, ACAMS
- Jason Chorlins, CPA, CFE, CITP, CIS, CAMS, Principal Banking Practice Leader, Risk Advisory Services, Kaufman, Rossin & Co.
- Jason C. Honeycutt, CAMS-Audit, Chief Compliance Officer and Vice President of Compliance, NetSpend
Cyber CSI: A Deep-Dive Analysis of How a Cybercrime Was Committed and Investigated
Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am
Identification: MON06
• Outlining unique cybersecurity vulnerabilities that enable crime to protect against similar events
• Analyzing institutional reaction to cyber events to discern best practices for stopping intrusions and securing unaffected data
• Detailing discrete challenges to investigating cyber crime to develop pro-active response plans
Moderator(s):
- Greg A. Ruppert, CAMS, Executive Vice President, FINRA
Speaker(s):
- John Bandler, CAMS, Founder, Bandler Law Firm & Bandler Group
- Robert Beggs, Founder & Chief Executive Officer, Digital Defence
- Jeffrey Tricoli, Cyber Section Chief, Federal Bureau of Investigation (FBI)
Is This the Year that Sanctions, AML, and Cybersecurity in Correspondent Banking Converge?
Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am
Identification: MON07
Presented by Swift
• Understanding the evolving threats to your own institution and your business counterparts
• Taking appropriate steps to protect your organisation with the right policies, processes and people
• Exploring how fraud, cyber-crime and AML teams can join forces to address the threat
Moderator(s):
- Paul Taylor, Head of Financial Crime Compliance Initiatives Americas & UK Region, SWIFT
Speaker(s):
- Vikas Agarwal, Principal, Financial Crime Technology, PwC
- Scott F. Butler, CAMS-FCI, Chief Compliance Officer, Chief Executive Officer, Stealth
- Lisa Grigg, CAMS, Chief Enterprise Financial Crimes Compliance Executive, US Bank
Unleashing the Power of KYC Data
Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am
Identification: MON08
Presented by Fiserv
• Looking at ways to utilize KYC data to improve your AML operations
• Identifying more suspicious activity
• Driving revenue to your firm
Speaker(s):
- Chris Mauro, Director, Product Management, AML Solutions, Fiserv
Securities Small Stocks, Big Issues: Examining Best Practices for Preventing or Investigating Microcap Money Laundering Schemes
Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am
Identification: MON09
• Reviewing unique AML and fraud risks of microcaps to ensure adequate CIP and conduct robust monitoring
• Investigating suspicious activities to identify relevant facts and file SAR as warranted
• Conducting staff training and independent testing to assure AML models withstand regulatory rigors
Moderator(s):
- John Davidson, Senior Vice President and Global Head of AML, E-Trade Financial
Speaker(s):
- Katrina Carroll, Executive Vice President, Chief AML Officer, LPL Financial
- Sarah Green, Global Head of Financial Crimes, The Vanguard Group
- Jeff Horowitz, Managing Director, Global Head of Compliance, Pershing
Gaming Spotlight: Best AML Practices to Manage Patron-Related Risks
Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am
Identification: MON10
• Verifying patron identity with required documents and creating risk profiles based on factors such as country of residence, negative news reports and possible PEP ties
• Conducting due diligence on high-volume patrons to assess source of funds and spot red flags such as ties to shell firms and unusually large increases in gaming activity
• Mitigating risks by formalizing protocols for patron payout systems, investigating potential structuring, filing SARs and terminating patron relationships as warranted
Speaker(s):
- Paul Camacho, CPA, Vice-President of AML Compliance, Station Casinos
- Vasilios Chrisos, CAMS, Principal, PwC
- Benjamin M. Floyd, CAMS, Senior Vice President, Corporate AML Officer, Caesars Entertainment
- Krystal Saab, Esq., Director, AML Compliance, Cosmopolitan Las Vegas