Customizing AML and Risk Management Models for Small Institutions and MSBs

Sep 27, 2016 10:05am ‐ Sep 27, 2016 11:20am

Identification: CB1

Creating an institutional risk exposure index to align AML priorities andallocation of resources Strengthening onboarding screening to enhance risk assessment andmanagement Updating institutional risk analyses to spot new vulnerabilities andformulate corrective actions

Securities: Overcoming Unique Sanctions Screening Challenges of Securities Firms

Sep 27, 2016 10:05am ‐ Sep 27, 2016 11:20am

Identification: MIT6

Developing risk-based assessments to identify and mitigate trading-relatedsanctions vulnerabilities Using SDN matching systems to enable robust monitoring of sanctioned OFACparties Training staff on geographic, product and client risks to strengthen thesanctions compliance culture

AML Technologies - Robotics, AI and Cognitive Facts and Fiction, Including Hands-on Lessons Learned

Sep 27, 2016 10:05am ‐ Sep 27, 2016 11:20am

Identification: SE10

Presented by KPMG

Improving efficiencies in AML Onboarding and Risk Assessment usingrobotics Reducing operational risks in AML through the use of ArtificialIntelligence and Cognitive Learning techniques Addressing the hard lessons learned through implementations

The AML Team Leader: Landing and Retaining Top Compliance Talent

Sep 27, 2016 10:05am ‐ Sep 27, 2016 11:20am

Identification: SE8

Creating a workplace culture to attract the highest quality applicants Building a positive compliance “brand” to enhance your organization’sreputation and support recruitment and retention Developing ongoing employee training to elevate jobs skills and aidprofessional development

Robo Compliance Assistant: The Future is Here

Sep 27, 2016 10:05am ‐ Sep 27, 2016 10:35am

Identification: EHI7

Presented by Mphasis
• Reducing overall cost for compliance operations significantly e.g. KYC- Customer analysis, AML- Suspicious Activity Investigation
• Ensuring compliance to new and changing regulations
• Using compliance spend to positively impacting the bottom line

Addressing Compliance Challenges in Correspondent Banking and Cross-Border Payments

Sep 27, 2016 10:05am ‐ Sep 27, 2016 11:20am

Identification: SE9

Presented by SWIFT
• Understanding the challenges of new legislation including DFS certification requirements and FATF Recommendation 16
• Determining how the right approach can save you money while providing best-in-class results
• Applying an over-arching utility model to streamline your compliance activities and mitigate risk

Beefing Up Beneficial Ownership Identification Practices

Sep 27, 2016 10:05am ‐ Sep 27, 2016 11:20am

Identification: CT1

Utilizing multiple databases to verify provided names and screen for PEP,SDN or terrorist links Leveraging global information sharing and public registers to aid ultimatebeneficial ownership (UBO) reviews of foreign entities Reviewing typologies of abusive trusts and shell firms to strengthen UBOidentification processes

Building a CTF SWAT Team

Sep 27, 2016 10:05am ‐ Sep 27, 2016 11:20am

Identification: IT1

Conducting an institutional review to assess terror risks tied togeography, products and client mix Instituting team-wide training and daily briefings to ensure groupawareness of relevant events Performing trial runs to assure CTF oversight is functional and correctany systemic deficiencies

Verifying the Next Billion Users: Using Technology to Verify Identity Globally

Sep 27, 2016 12:35pm ‐ Sep 27, 2016 1:50pm

Identification: AT1

Defining current global identity verification practices to outlinebenefits of universal standards Tailoring monitoring protocols to address unique AML risks ofnon-traditional accounts Utilizing emerging technologies to strengthen identification efficacysystemic flaws

Financial Crime Hot Topics

Sep 27, 2016 12:35pm ‐ Sep 27, 2016 1:50pm

Identification: CS5

Now a popular staple of the conference program, this hot topic session brings together a panel of financial crime prevention experts to address top-of-mind challenges You drive the content for this highly interactive session by nominating topics just two weeks prior to the conference, ensuring the most timely and relevant information is discussed.