Turning Risk Avoidance into Risk Management - The AML Challenges and Opportunities Stemming from the Shifting Geopolitical Landscape - Presented by SWIFT

Apr 4, 2017 12:30pm ‐ Apr 4, 2017 1:45pm

Identification: S&E9

  • Creating more transparency and competitive approaches to managing counterparty risk
  • Investing in systems and processes to be compliant on a local and global scale
  • Implementing efficient tools to effectively detect and prevent fraud

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Sanctions Insight: Risk-based Approaches and Essential Oversight

Apr 4, 2017 2:05pm ‐ Apr 4, 2017 3:20pm

Identification: CS5

  • Conducting an OFAC risk assessment to determine potential sanctions-related issues and correct potential gaps
  • Creating objective metrics to mitigate sanctions risks linked to geography, business products or client profile
  • Developing protocols on alert responses to ensure escalation and investigation of sanctions-related risks and SAR filings as warranted

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Automate the Right Way: Strategically Matching Technology with Specific AML Issues

Apr 4, 2017 2:05pm ‐ Apr 4, 2017 3:20pm

Identification: ET5

  • Conducting cost/benefit analysis of automating specific AML tasks to create economic efficiencies and protect data integrity
  • Coordinating automating processes internally to enhance risk management and prevent tech redundancies
  • Testing automated processes to verify systems are serving institutional goals and correct systemic lapses

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Big Ideas for Stretching Small Compliance Budgets

Apr 4, 2017 2:05pm ‐ Apr 4, 2017 3:20pm

Identification: SI2

  • Ranking institutional AML risks to ensure rational allocation of resources to most significant compliance priorities
  • Optimizing professional networking and regulatory resources to aid ongoing AML training
  • Analyzing targeted outsourcing opportunities that are cost effective and preserve oversight integrity

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Testing for a Culture of Compliance

Apr 4, 2017 2:05pm ‐ Apr 4, 2017 3:20pm

Identification: PD4

  • Surveying workers to quantify existing attitudes on compliance, professional behavior and risk tolerance
  • Interviewing groups and individuals to gauge culture of compliance relevance in decision-making
  • Creating metrics-based report to inform board and regulators on culture of compliance testing

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Optimizing AML & KYC Processes Through Critical Innovations - Presented by GENPACT

Apr 4, 2017 2:05pm ‐ Apr 4, 2017 3:20pm

Identification: S&E12

  • Current industry challenges, insights, and innovation themes in the near future
  • Digital & analytical transformation journey
  • Pre-requisites for successful transformation of AML & KYC processes

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Follow the Money: Using Forensic Accounting to Solve Financial Crimes

Apr 4, 2017 2:05pm ‐ Apr 4, 2017 3:20pm

Identification: FI2

  • Reviewing case studies including terrorist financing to illustrate practical AML applications for forensic accounting
  • Partnering with forensic accountants to resolve fraud-related crimes and protect clients
  • Analyzing forensic reviews of entities’ financial information to strengthen AML and financial crime protection policies going forward

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Mastering New Tools to Target CTF's New Battlefronts

Apr 4, 2017 3:50pm ‐ Apr 4, 2017 4:50pm

Identification: CS6

  • Detailing construction of digital footprints to assist in identifying terrorists and their funding networks
  • Mining social media data to identify sentiments suggesting potential terrorist support or sympathies
  • Facilitating fusion of data sources to elevate CTF comprehensiveness and efficacy

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Defending Against Cyber-Based Extortion, Fraud and Ransomware Attacks

Apr 4, 2017 3:50pm ‐ Apr 4, 2017 4:50pm

Identification: ET6

  • Reviewing recent FinCEN advisory to identify regulatory expectations for cyber-related SAR filing, in-house collaboration and inter-institutional information sharing
  • Reviewing cybercrime cases to identify common practices and methods of cybercriminals
  • Simulating a ransomware event to detail practical and protective institutional defenses

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Look Back and Move Forward: Conducting Account Reviews at Smaller Institutions

Apr 4, 2017 3:50pm ‐ Apr 4, 2017 4:50pm

Identification: SI3

  • Standardizing internal transaction records to ensure data compatibility and support accuracy of analysis
  • Scrutinizing look-back analysis to gain insights into potential systemic AML gaps
  • Incorporating relevant look-back findings to meet regulatory demands and enhance compliance

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