Relationship Managers and AML Officers: Bridging Divides for Mutual Benefit

Sep 27, 2016 2:20pm ‐ Sep 27, 2016 3:35pm

Identification: CI3

Training relationship managers on vital role of measuring risk to attainsafer marketing practices Conducting collaboration teams to review and solve compliance/relationshipmanager conflicts Formalizing systems on red flags to detail obligations of relationshipmanagers and compliance

Research and Findings: CAMS-FCI White Papers

Sep 27, 2016 2:20pm ‐ Sep 27, 2016 3:35pm

Identification: IT3

Newly minted recipients of the CAMS-Financial Crimes Investigations Certification program share their newly created knowledge when they present their white papers at this insightful session. Combining rigorous research with an eye toward practical applications at the operational level, this session will shed new light on how to improve the all-important investigative function that’s crucial to effective AML oversight.


Data and Model Validation for Suspicious Transaction Monitoring Systems

Sep 27, 2016 2:20pm ‐ Sep 27, 2016 3:35pm

Identification: CI2

Presented by South Florida Chapter

Reviewing recent guidance on validation testing to assure policies meetregulatory expectations Outlining best practices for validation testing to ensure comprehensivereview and results Interpreting test results to assess monitoring system efficacy and correctany systemic defects

Small Miracles: The Magic Behind Making Lean Compliance Departments Work

Sep 27, 2016 2:20pm ‐ Sep 27, 2016 3:35pm

Identification: CB3

Training staff in multiple AML functions to optimize internal expertiseand cross-functional benefits Leveraging peer group and regulatory resources to provide cost-effectivecompliance training Conducting cost-benefit analyses on AML functions to identify potentialoutsourcing options

Special Presentation with Q&A

Sep 27, 2016 3:45pm ‐ Sep 27, 2016 4:15pm

Identification: PS5


Opening Remarks

Sep 28, 2016 7:45am ‐ Sep 28, 2016 7:50am

Identification: PS6


Keynote Address

Sep 28, 2016 7:50am ‐ Sep 28, 2016 8:30am

Identification: PS7


Smart Strategies for Managing Sanctions Risks

Sep 28, 2016 8:30am ‐ Sep 28, 2016 9:45am

Identification: PD3

• Creating robust monitoring models to attain real-time adjustments to Cuba, Iran and other sanctions changes
• Training staff on all restrictions, including Russian sectoral sanctions, to assure informed decision-making
• Reviewing relevant sovereign sanctions regimes to resolve potential cross-jurisdictional conflicts

Updating Compliance Models to Mitigate Emerging FinTech Sector Risks

Sep 28, 2016 10:15am ‐ Sep 28, 2016 11:30am

Identification: PD4

• Identifying unique FinTech financial crime risks to ensure onboarding screening models are effective
• Conducting enterprise-wide training on proper FinTech oversight to assure all relevant AML risks are addressed and monitored
• Closely monitoring shifts in FinTech regulations and technology to maintain a robust compliance program

Closing Remarks

Sep 28, 2016 11:30am ‐ Sep 28, 2016 11:35am

Identification: PS8