Welcome Remarks
Mar 17, 2014 7:30am ‐ Mar 17, 2014 7:40am
Identification: GS01
Speaker(s):
- Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
Keynote Address
Mar 17, 2014 7:40am ‐ Mar 17, 2014 8:25am
Identification: GS02
Speaker(s):
- The Honorable Thomas J. Curry, Comptroller of the Currency, Office of the Comptroller of the Currency (OCC)
Insights from the Chief Compliance Officer: Addressing Compliance Priorities in Global Financial Institutions
Mar 17, 2014 8:25am ‐ Mar 17, 2014 9:35am
Identification: GS03
Objectives:
- Balancing conflicting messages from regulators, especially regarding risk avoidance vs. risk-based management
- Discussing the convergence of AML, fraud, sanctions and corruption and the impact on an institution’s overall operation
- Overcoming continuous budget hurdles: Allocating and managing limited resources across various compliance areas
- Fostering a culture of compliance, ethics and corporate governance
- Conducting business under a Consent Order: Managing its impact on day-to-day compliance efforts, new business initiatives and resource distribution
Speaker(s):
- Dan Soto, Chief Compliance Officer, Ally Financial
- Francine Blackburn, Executive Vice President, Regulatory and Government Affairs and Chief Compliance Officer, Royal Bank of Canada
- Luciano J. Astorga, CAMS, Chief Compliance Officer, BAC| Credomatic Network
- Vic Warnement, Executive Vice President and Chief Compliance and Ethics Officer, American Express
- John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource
Examining Key Themes in Global Enforcement Actions
Mar 17, 2014 10:05am ‐ Mar 17, 2014 11:15am
Identification: GS04
Objectives:
- Learning policies and procedures for mitigating risk from domestic and international enforcement actions
- Dealing with examiners’ heightened expectations for increased sanctions compliance
- Identifying global expectations for board involvement in compliance
- Creating an independent AML/anti-financial crime regime
- Mitigating your personal and institutional exposure to the regulatory risks posed by insufficient AML controls
Speaker(s):
- Dan Stipano, Partner, Buckley LLP
- Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
- Gerald Cossette, Director, Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)
- Jason Gonzalez, Senior Special Counsel, Federal Reserve Board
- Debra L. Novak, CAMS, CFS, Chief, AML Section, Division of Risk Management Supervision, Federal Deposit Insurance Corporation (FDIC)
Hot Topics in AML and Financial Crime
Mar 17, 2014 12:30pm ‐ Mar 17, 2014 1:45pm
Identification: GAC1.1
Objectives:
- Driven by attendee input, this panel of financial crime prevention executives will offer insight on the latest AML challenges.
- From fortifying compliance controls to recent enforcement actions to managing examiner expectations, this interactive session targets specific topics that you nominate just two weeks prior to the conference. Join the discussion and walk away with the most timely and relevant information available.
Speaker(s):
- William J. Fox, Global Financial Crimes Compliance Executive, Bank of America
- Darren Donovan, Principal, KPMG
- Chip Poncy, President and Co-Founder, Financial Integrity Network
- Adam Szubin, Acting Under Secretary, Terrorisn and Financial Intelligence, US Department of the Treasury
- John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource
Taking Risk Management to the Next Level: "De-Risking" Your Institution
Mar 17, 2014 12:30pm ‐ Mar 17, 2014 1:45pm
Identification: GAC1.2
Objectives:
- Learning what to consider if you determine that doing business with an entity or individual brings high risk to your institution
- Outlining relevant legal, regulatory and reputational risks associated with ending a relationship with a customer
- Communicating with your institution’s business units and the customer concerning the decision to close an account
- Handling law enforcement requests to keep an account open after the institution has decided to end the relationship
Speaker(s):
- Chuck Taylor, CAMS, Executive Vice President, Head of Financial Crimes Advisory, AML RightSource
- Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS
- Dennis Ansbro, Global Sanctions Director of the FCIU, Ally Financial
- Robert L. Curry, CAMS, Executive Vice President, Chief Compliance Officer, KeyBank
Understanding International Beneficial Ownership and Tax Transparency Requirements
Mar 17, 2014 12:30pm ‐ Mar 17, 2014 1:45pm
Identification: CAR1.1
Objectives:
- Adhering to new FATF/OECD obligations regarding beneficial ownership for corporate structures
- Overcoming the roadblocks in tracking beneficial ownership information
- Leveraging beneficial ownership information to tackle tax evasion and fraud
- Demystifying what beneficial ownership means in an AML context and determining next steps in instances when the beneficial owner is not a “natural person”
Speaker(s):
- Nancy J. Saur, CAMS, Compliance Officer, Cayman Trust Company
- Norma Williams-Seymour, CAMS, FICA, Senior Vice President, Service Delivery, Cayman National Bank
- Rowena G. Bethel, Chief Executive Officer, The National Insurance Board
- Ian M. Comisky, Esq., Partner, Fox Rothschild LLP
Fighting Corruption in Latin America: What are the Implications for Financial Institutions?
Mar 17, 2014 12:30pm ‐ Mar 17, 2014 1:45pm
Identification: LAT1.1
Objectives:
- Assessing the impact of recent regulatory changes in the area of anti-corruption
- Using key indicators to assess the overall corruption environment in jurisdictions where you conduct business
- Implementing an effective AML scheme: Assessing corruption-related risk and protecting your institution from the laundering of corruption proceeds
- Exploring lessons learned from recent enforcement actions such as Walmart (Mexico), Alcatel-Lucent (Costa Rica) and Siemens (Argentina)
Speaker(s):
- Carolina Ceballos, CAMS, Regional Vice President AML-Compliance, The Americas and Europe, Western Union
- Leah Ambler, Anti-Corruption Analyst, Organization for Economic Co-Operation and Development (OECD)
- Guillermo Horta, CAMS, Managing Director, Global Financial Crimes Compliance Head for the Americas (GBAM), Bank of America Merrill Lynch
Examining New Expectations of the AML Audit Function
Mar 17, 2014 12:30pm ‐ Mar 17, 2014 1:45pm
Identification: AUD1.1
Objectives:
- Meeting regulatory expectations of independent AML audits and overcoming the challenges of reviewing AML programs
- Managing broad audit responsibilities with limited resources
- Defining the role of the Quality Assurance team in testing AML operations
- Tackling the challenge of training auditors to ensure proper understanding of AML policies and procedures
Speaker(s):
- James A. Candelmo, CAMS, SVP, Chief AML Officer, Capital One Bank
- Daniel E. Harris, Head of Compliance Assurance, RBS Americas, Royal Bank of Scotland
- Jack Sonnenschein, CAMS-Audit, Founder and Principal, Compliance Navigation LLC
Assigning Global Customer Risk Ratings Despite Conflicting Examiner Expectations
Mar 17, 2014 1:55pm ‐ Mar 17, 2014 3:10pm
Identification: GAC1.3
Objectives:
- Reviewing key international regulatory expectations for risk rating customers
- Analyzing examples of customer risk ratings within various jurisdictions, business units and products
- Managing inconsistent feedback from supervisors representing multiple jurisdictions
- Establishing uniform risk-rating processes—is this an achievable goal for global institutions?
Speaker(s):
- William Ward, CAMS, Executive Vice President, Chief BSA/AML & Security Officer, First Republic Bank
- Susan J. Galli, CAMS, President, Galli AML Advisory, LLC
- Michael D. Kelsey, CAMS, Managing Director, JPMorgan Chase
- Jack Sonnenschein, CAMS-Audit, Founder and Principal, Compliance Navigation LLC
- Charlene C. Balfour, Managing Director, Corporate & Investment Banking (CIB) Audit, JPMorgan Chase