Welcome Remarks
Sep 26, 2016 8:00am ‐ Sep 26, 2016 8:05am
Identification: PS1
Speaker(s):
- Ted Weissberg, CAMS, Chief Executive Officer, ACAMS
- John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource
Special Presentation with Q&A
Sep 26, 2016 8:05am ‐ Sep 26, 2016 8:30am
Identification: PS2
Speaker(s):
- Joseph Lombardo, Sheriff, Office of the Sheriff, Las Vegas Metropolitan Police Department (LVMPD)
ACAMS Regulatory Update: Views and News from the Regulatory Community
Sep 26, 2016 8:30am ‐ Sep 26, 2016 10:00am
Identification: PD1
| • Discussing new and ongoing regulatory initiatives affecting the AML compliance community • Detailing positive and negative examination themes and how to utilize for training improvements • Identifying emerging trends/new guidance and any resulting compliance challenges |
Speaker(s):
- Debra L. Novak, CAMS, CFS, Chief, AML Section, Division of Risk Management Supervision, Federal Deposit Insurance Corporation (FDIC)
- 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
- John Fahey, Branch Chief Office of Chief Counsel Division of Trading and Markets, US Securities and Exchange Commission (SEC)
- Koko Ives, Manager, BSA/AML Compliance Section, Division of Supervision and Regulation, Federal Reserve Board
- Andrea Sharrin, Associate Director, Policy Division, Financial Crimes Enforcement Network (FinCEN)
- Rick A. Small, CAMS, Executive Vice President, Director Financial Crimes Program,, Truist
Securities: Analyzing Recent FINRA Actions for Lessons on Compliance and Risk Management
Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am
Identification: MIT2
Assessing penalties tied to microcap shares to determine best practicesfor enhancing AML models Examining private placement fines to identify red flags that may indicatekickbacks and other crimes Applying guidance from FINRA’s firm culture reviews to integrate theagency’s priorities into oversight models
Moderator(s):
- Michelle J. Neufeld, AML Expert, Executive Vice President, Control Leader FIG and international, Wells Fargo
Speaker(s):
- Bob Molloy, CAMS, Chief BSA/AML Officer, Raymond James Financial
- Sharon Cohen Levin, Partner, WilmerHale
- Jeff Horowitz, Managing Director, Global Head of Compliance, Pershing
Tech Spotlight: Blockchain, R3 and the New KYC
Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am
Identification: CS1
| • Applying blockchain applications to AML oversight to reduce risks tied to digital currencies • Utilizing blockchain transparency to enable inter-bank data sharing and enhance KYC rigor • Reviewing activities of the R3 blockchain bank consortium to anticipate emerging impacts on transaction monitoring, transparency and other AML issues |
Moderator(s):
- Kay LaBare, Senior Vice President, Technology and Operations Services, US Bank
Speaker(s):
- John Solomon, Director of Threat Finance Research, Thomson Reuters
- David Griesbach, CAMS, Product Manager – Payments, Compliance and Identity, Alpabet and Google
- Juan Llanos, Managing Director, MultipleStartups
Managing the Risks of Risk Management
Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am
Identification: RM1
Creating risk assessment metrics to quantify adherence to institutionaland regulatory standards Formalizing ongoing client review requirements to ensure risk profilesremain accurate and updated Understanding when risk-based account terminations are appropriate toinform client retention decisions
Moderator(s):
- Marilú Jiménez, Esq., CAMS, Founder and President, Financial Intelligence Network & Compliance Advisors (FINCAdvisors)
Speaker(s):
- Susan J. Galli, CAMS, President, Galli AML Advisory, LLC
- Spencer W. Doak, NBE, Director for BSA/AML Policy, Office of the Comptroller of the Currency
- Jacqueline Shinfield, Partner, Blake, Cassels & Graydon LLP
Fortifying Compliance Infrastructure to Spot and Investigate Potential Elder Abuse
Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am
Identification: RS1
Establishing effective monitoring to capture abnormal transaction patternsor asset movements Conducting due diligence on designated fiduciaries to ensure properhandling of client finances Teaming with law enforcement to investigate alerts and possible organizedfraud schemes
Speaker(s):
- Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
- Elizabeth Loewy, Co-founder and Chief Operating Officer, EverSafe
- Archana Rao, Bureau Chief, Financial Frauds Bureau, Manhattan District Attorney’s Office
- Scott Willis, Deputy Chief BSA/AML Officer, Raymond James Financial Inc.
Implementing AML/KYC Managed Service Solutions Using Robotics Process Automation
Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am
Identification: SE1
Presented by Accenture
Transforming KYC by implementing holistic solutions focused onsustainability Achieving scale and efficiencies by using global talent and a flexibleworkforce Optimizing quality and increasing throughput by introducing automation tothe KYC processSpeaker(s):
- David Deleon, CAMS, Senior Manager, Finance & Risk Practice, Accenture
- Philippe Guiral, Managing Director, Accenture
- Melanie Hilley, Global Director of Legal Services, AML & CTF, Accenture
Intersection of Cyber Crime, Fraud and Money Laundering, What’s Your Business Defense?
Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am
Identification: SE2
Presented by BAE Systems
Speaker(s):
- Gina Lowdermilk, CAMS, Senior Business Consultant, BAE Systems Applied Intelligence
- Mariola Marzouk, Global Head of Financial Crime and Fraud Insights, BAE Systems
Casinos: Applying AML Best Practices to Secure and Maintain Banking Relationships
Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am
Identification: MIT1
Identifying potential banks with risk appetite and onboarding practicesappropriate for gaming organizations Tailoring casinos’ AML risk scoring and patron due diligence policies tomeet banks’ risk-based CDD requirements and expectations Developing relationship terms that address challenges such as accountmonitoring and data-sharing requests
Speaker(s):
- Leo Barkash, CAMS, Assistant Vice President, Compliance Officer, CIT Group Inc.
- Vasilios Chrisos, CAMS, Principal, PwC
- Kevin S. Rosenberg, Chair of the Government Investigations and White Collar Litigation Group, Goldberg, Lowenstein & Weatherwax
- Frederick Reynolds, Managing Director, Global Head of Financial Crime, Employment and Competition Legal, Barclays
- Michele Guanzon, Senior Vice President Operations Administrator, Bank of George
- Kim McCabe, CAMS, President and Founder, KMC LLC