Tech-Based Methods for Enhancing CIP/CDD/EDD and Detecting Suspicious Activity
Apr 3, 2017 2:05pm ‐ Apr 3, 2017 3:20pm
Identification: ET2
- Using social media and search engine tools to boost KYC accuracy and mitigate onboarding risks
- Centralizing client data systems to facilitate robust risk assessments and information sharing
- Analyzing emerging trends such as biometric identification and entity profiling typologies to strengthen verification
Moderator(s):
- Marilú Jiménez, Esq., CAMS, Founder and President, Financial Intelligence Network & Compliance Advisors (FINCAdvisors)
Speaker(s):
- Pravin Chandrasekaran, CAMS, Senior Vice President- Customer Risk Analytics, Financial Crime Analytics, Financial Crime Risk Management, Wells Fargo
- Chris Siddons, CAMS, Senior Director, Regulatory Risk and Compliance Solutions , LexisNexis Risk Solutions
Start Spreading the News: BSA Training from Tellers to Top Management
Apr 3, 2017 2:05pm ‐ Apr 3, 2017 3:20pm
Identification: PD2
- Preparing and reviewing instruction materials to ensure clear and consistent messaging of regulatory and institutional expectations on BSA issues
- Tailoring training to target specific roles of internal constituencies including senior management and relationship managers
- Formalizing schedules and methods for ongoing training to limit risk of BSA compliance lapses
Speaker(s):
- Jack Oskvarek, CAMS, CAFP, AMLP, Senior Vice President, BSA Executive Director, Wintrust Financial Corporation
- Nicolas E. Khouri, CAMS, Senior Compliance Director, Head of AML Investigations, Ally Bank
- Michael S. Schidlow, CAMS-Audit, Expert Consultant in Financial Crime Compliance
Updating Approaches for Detecting and Reporting Tax Evasion
Apr 3, 2017 2:05pm ‐ Apr 3, 2017 3:20pm
Identification: GC2
- Creating an approach to tax evasion to ensure adequate monitoring for red flags such as invoice manipulation, asset concealment and large currency transactions
- Outlining the OECD Base Erosion and Profit Shifting initiative to develop strategies on evolving evasion regulatory trends
- Formalizing best practices to investigate and resolve alerts indicating potential tax evasion
Moderator(s):
- Markus Schulz, Global Head of Change Management Financial Crimes Compliance, ING
Speaker(s):
- Ian M. Comisky, Esq., Partner, Fox Rothschild LLP
- Donna Daniels, Executive Director, Fraud Investigations & Detection Services, EY
- Edward Rodriguez, CAMS, AML/BSA Consultant, Money Service Business Compliance Bureau (MSBCB)
Are Your FCC Programs Enhancing Financial Inclusion and Transparency? - Presented by LexisNexis Risk Solutions
Apr 3, 2017 2:05pm ‐ Apr 3, 2017 3:20pm
Identification: S&E3
- Analyzing how FCC is helping organizations increase market share in underserved markets
- Sharing best FCC practices for sustainable and adequate compliance
- Understanding the criticality of the FCC ecosystem in the digital era
Speaker(s):
- Sean Friedly, CAMS, Vice President, Head of AML & Financial Crimes Investigations, Raymond James
- Carlos Garcia-Pavia, Director, Market Planning - AML Compliance, LexisNexis Risk Solutions
- Meredith Moss, Chief Executive Officer, Finomial
- Gabriel Romo, Managing Partner, CC Compliance & Conduct Advisors
- Chris Siddons, CAMS, Senior Director, Regulatory Risk and Compliance Solutions , LexisNexis Risk Solutions
The Urge to Converge: Unifying Financial Crimes Compliance Across Fraud, AML, and Cybersecurity - Presented by PwC
Apr 3, 2017 2:05pm ‐ Apr 3, 2017 3:20pm
Identification: S&E4
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Speaker(s):
- John Sabatini, Principal, PwC
- Jeff P. Lavine, Partner, AML and Sanctions Leader, PwC
- Sean Joyce, Principal, Financial Crimes Unit Leader, PwC
- Genevieve Gimbert, Principal Financial Crimes Unit, PwC
It Could Happen to You: Guarding Against Potential Personal Liability
Apr 3, 2017 3:50pm ‐ Apr 3, 2017 4:50pm
Identification: CS3
- Reviewing recent regulatory cases to understand current risks regarding professional liability
- Analyzing New York State Department of Financial Services’ Part 504 regulation “Banking Division Transaction Monitoring and Filtering Program Requirements and Certifications” to chart implications for potential personal liability issues
- Detailing practical strategies to defend against allegations of personal liability
Moderator(s):
- Brian M. Stoeckert, CAMS, Managing Director, Stratis Advisory
Speaker(s):
- John F. Caruso, Principal, KPMG
- Polly Greenberg, Managing Director, Global Head of Program management, Global Financial Crimes Division, MUFG Bank
- Dan Eckhart, CAMS, Attorney at Law, Dan Eckhart Law, P.A.
Validating Automated Transaction Monitoring Models: New Methods and Tools
Apr 3, 2017 3:50pm ‐ Apr 3, 2017 4:50pm
Identification: ET3
- Detailing best practices for validating automated transaction monitoring models to ensure accurate outcomes
- Using statistical modeling to quantify false negative rates of automated transaction monitoring systems
- Reviewing guidance to meet heightened regulatory expectations for automated transaction monitoring risks
Speaker(s):
- John Sabatini, Principal, PwC
- Robert L. Curry, CAMS, Executive Vice President, Chief Compliance Officer, KeyBank
- Rock T. Magleby-Lambert, CAMS, Senior Vice President, Quantitative Analysis and Modeling Group Manager, PNC Bank
- Michael O'Malley, Director of Model Validation, PNC Bank
The Enemy Within: Best Practices for Identifying and Terminating Rogue Employees
Apr 3, 2017 3:50pm ‐ Apr 3, 2017 4:50pm
Identification: PD3
- Crafting Know Your Employee (KYE) policies to secure thorough screening of new hires for criminal links or conflicts of interest
- Instituting confidential reporting systems such as whistleblower hotlines to encourage disclosure of co-worker malfeasance
- Investigating and filing SARs on suspicious insider activities and formalizing policies for cooperating with law enforcement and/or regulators
Moderator(s):
- Nancy J. Saur, CAMS, Compliance Officer, Cayman Trust Company
Speaker(s):
- Jason A. Frantz, CAMS, Senior RCA Manager - AML, US Bank
- Lester . Bain , Director of Security and AML Operations, Principal Vice President, Burke and Herbert Bank
- William J. Voorhees, CAMS, Senior Vice President, BSA/AML Financial Intelligence Unit Manager, BB&T, Now TRUIST
PEP Spotlight: Kleptocracy and International Money Laundering
Apr 3, 2017 3:50pm ‐ Apr 3, 2017 4:50pm
Identification: GC3
- Outlining money laundering typologies of kleptocratic regimes to develop asset tracking and recovery systems
- Developing collaborative relationships with law enforcement and global entities to ensure thorough investigation of suspect activity
- Examining case studies to highlight best practices to thwart kleptocrat money laundering
Moderator(s):
- William J. Fox, Global Financial Crimes Compliance Executive, Bank of America
Speaker(s):
- Frederick Reynolds, Managing Director, Global Head of Financial Crime, Employment and Competition Legal, Barclays
- Adam W. Storer, Special Agent CID – Los Angeles International Corruption Squad, Federal Bureau of Investigation (FBI)
- Debra LaPrevotte, Senior Investigator, The Sentry
Defending Against Securities-Based AML and Fraud Schemes
Apr 3, 2017 3:50pm ‐ Apr 3, 2017 4:50pm
Identification: FI1
- Reviewing common securities fraud and AML typologies to strengthen monitoring systems
- Implementing formal procedures to investigate unique securities AML risks such as microcap stock manipulation
- Examining case studies to determine applicable lessons for mitigating securities-based financial crime risks
Moderator(s):
- Ryan Schwoebel, CFE, CAMS, Anti-money Laundering (AML) Officer, ProEquities
Speaker(s):
- John Davidson, Senior Vice President and Global Head of AML, E-Trade Financial
- Kristin Milchanowski, PhD, Managing Director, EY
- Milan R. Kosanovich, Supervisory Special Agent, Complex Financial Crimes Unit, Federal Bureau of Investigation