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SP6 - Creating an Effective Institutional Culture of Compliance


‐ Sep 30, 2014 3:30pm

Given the recent FinCEN Culture of Compliance advisory, AML compliance needs to be "top of mind" for all individuals within the organization. Join us for an interactive session, where we'll touch on what organizations need to focusing on to maximize AML compliance and ensure that sanctions risk, both institutional and individual, is minimized.
  • Culture of Compliance – ensure the "culture" or values and principles as they are executed visibly within the organization
  • Accountability – who is accountable and who needs the authority to get things done
  • Governance - practices for executing sound, proper and effective governance of AML compliance
  • Integration – a key element to success is the proper integration of data, systems, operations and responsibilities

Speaker(s):

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