Scott Rembrandt, Deputy Assistant Secretary (DAS) for Strategic Policy, U.S. Department of the Treasury
Scott Rembrandt, Deputy Assistant Secretary (DAS) for Strategic Policy, U.S. Department of the Treasury
Meg Zucker, VP, Head of US AML & Financial Crime Advisory, RBC
Hear directly from regulators and policy makers about current developments in the AML and financial crime space and their regulatory and examination priorities for 2023. Discussion topics will include expectations for the year and changes your firm may wish to consider for your compliance program to address regulatory expectations, new trends and typologies, and lessons learned from enforcement.
Sarah Green, Global Head, Financial Crimes, Vanguard Group Inc.
Katrina A. Carroll, Chief Counsel, FinCEN
Michael Rufino, National Associate Director, U.S. Securities and Exchange Commission
Gargi Sharma, Investigative Director, FINRA
Paul M. Tyrrell, Partner, Sidley Austin
From China to Russia, sanctions have become the number one foreign policy tool. This panel will look back at the challenges the securities industry faced implementing Russia sanctions just over a year ago, and preparing your programs to be resilient and flexible for surely the next round of sanctions, wherever and whenever they may be employed. Sanctions are only as effective as they can be enforced. The panel will discuss sanctions evasion and enforcement – priorities for the U.S. and allies.
Scott Willis, SVP, Deputy Chief AML Officer, Raymond James Financial
Jared Cail, Director, Global Financial Crimes Manager, Bank of America
Laura Deegan, Senior Compliance Officer, Office of Foreign Assets Control (OFAC)
Jason Prince, Partner, Crowell & Moring LLP
John Thorpe, U.S. Head of Financial Crimes Compliance, Vanguard
The beneficial ownership information reporting rule is finalized. The access and use rulemaking has been proposed. Revisions to the 2018 CDD rule are expected to be proposed in the fall. How are firms preparing to meet the practical and operational challenges of the most impactful rulemaking since the CDD Rule?
Robert Molloy, Chief AML Officer, Raymond James Financial
Joe Evans, Americas Head of Anti-Financial Crime, Deutsche Bank
Satish M. Kini, Partner, Debevoise & Plimpton
Anna Manning, CAMS, CFE, Vice President, Anti-Money Laundering & Financial Crimes Officer, Raymond James Financial
Rockwell Reid, Global Head of AML - Banking, Capital Markets and Advisory, Citi
Bernard Canepa, Managing Director, Associate General Counsel - Office of General Counsel, SIFMA
Bernard Canepa, Managing Director and Associate General Counsel - Office of General Counsel, SIFMA
Matthew Taylor, Supervisory Special Agent, Federal Bureau of Investigation (FBI)
Samantha J. Leventhal, Managing Director, Global Financial Crimes Global Wealth & Investment Management and Global Markets Risk Executive, Bank of America
Aseel M. Rabie, Counsel, Debevoise & Plimpton
Kai Schrimpf, Global Head of Monitoring and Screening Controls, Morgan Stanley
Scott Schwed, U.S. Head, Anti-Money Laundering Compliance, Vanguard
Maya Tydykov, Director, Data Science, Fidelity Investments
This is a practical panel to improve your SAR filings. Through the lens of the Anti-Money Laundering Act of 2020’s requirement to provide “information with a high degree of usefulness to government authorities,” learn how to write more effective SARs by exploring law enforcement, regulator, and industry perspectives and sharing best practices.
Margaret Edmunds, Director of AML and Corporate Compliance, Baird
Craig Bresciani, Director, Americas Head of AML Investigations, Barclays
Rachel Cartwright, Special Agent, Federal Bureau of Investigation (FBI)
Michelle Rector, VP, Head of the Financial Intelligence Unit, Raymond James Financial
Eli Renshaw, Investigative Director - Special Investigations Unit, FINRA
Join Art Mueller, WorkFusion’s VP of Financial Crimes, and a panel with regulators as they discuss AI, ML, and innovation in AML and financial crime. Topics will include:
· How regulators are viewing innovation and AI in their regulatory exam process
· The benefits and drawbacks – including the risk of not innovating
· Why regulators are encouraging innovation in compliance programs
· What improvement regulators are seeing in compliance operations
Sponsored by WorkFusion
Art Mueller, Vice President - Financial Crime, Banking and Financial Services, WorkFusion
Lukas Babiak, Large Bank Technical Team Lead, Office of the Comptroller of the Currency (OCC)
It’s a tough job being an AML officer being surrounded by competing interests and heightened expectations on due diligence, controls, risk management, transaction monitoring, and more... This panel will explore a variety of challenges that AML officers face, from new products or business lines, converging business models, and several regulators across jurisdictions. How do you keep up in this environment?
April Dennis, Deputy Head of Financial Crime Compliance, Société Générale Americas
Sarah Cox, Head of Wealth Management and Banks Financial Crimes Advisory, Morgan Stanley
Charlie George, Head of Financial Crimes & Chief AML Officer, Fidelity Investments
Tara Loftus, Global Head of Financial Crimes Compliance, Brown Brothers Harriman
Alan Williamson, Director, Financial Crime Business Oversight Team, Barclays
Justin Kittelstad, Supervisory Special Agent - Homeland Security Investigations
John Rodriguez, Special Agent, Homeland Security Investigations
Traditional AML detection methods narrowly focus on internal data, reviewing client transactions from a books-and-records perspective, perhaps with the addition of a few generic client attributes. These methods have proven ineffective in detecting financial crime in the Global Markets, generating high rates of false positive alerts and resulting in few SARs. Without context, investigators are left searching for meaning in a sea of alerts, manually piecing together data in the hopes of finding suspicious activity.
Effective AML detection in Markets is achieved through entity resolution and network generation, using the power of internal and external data to evaluate activity in context. This approach uncovers hidden relationships and indirect risk; evaluates customer, transaction, counterparty and issuer risks; and, collectively delivers meaningful insights from voluminous trading activity.
Join us to learn how contextual monitoring - enhanced by external data - creates a holistic view of AML risk and enables far more effective detection and more efficient investigations.
Sponsored by Quantexa
Andrea Walser, US Head of AML Solutions for Global Markets, Quantexa
Torsten Banze, Director/Head of Global AML Transactions Monitoring Solutions, Citi
Jill DeWitt, Financial Crime Compliance Practice Lead, Moody’s
This session will explore some of the similarities and differences between a “Crypto” AML program and the traditional programs at Broker-Dealers and Banks. Experts will discuss trading, transaction monitoring, market surveillance, sanctions, and hit on some of the nuances that make crypto different. They will also touch on recent enforcement actions and other salient legal issues in the crypto space.
Jeffrey Weiss, VP, Head of Financial Crimes, Robinhood Markets, Inc.
Becky Catanese, Head of Compliance, U.S. & Canada, Crypto.com
Brandon Liang, Vice President, Head of Financial Crimes Surveillance, Fidelity Investments
Aliceson (Kristy) Littman, Partner, Litigation, Willkie
Brian J. Walsh, Sanctions Officer & Deputy AML Officer, BitGo
How effective is your independent testing in identifying and remediating areas of concern? Are you comfortable with the level of collaboration at your firm between Corporate Audit and AML? Join us for a panel discussion which promises to address these questions and more… Hear from industry leaders in Audit on their perspectives in testing and what they foresee changing as the surveillance landscape begins to embrace machine learning and artificial intelligence.
Kristina Guerra, SVP, Global Financial Crimes Manager Bank of America
John Petrillo, Managing Director, Chief Auditor, Anti-Financial Crime, Deutsche Bank
April Sinicrope, USBI AML Officer, U.S. Bancorp Investments
Craig Tepper, Managing Director - Internal Audit - Head of the Combined U.S. Operations (CUSO) Financial Crimes and Corporate Compliance, RBC Capital Markets
Michael Wegh, Director, Financial Crimes, KPMG
This session will explore governance challenges of a modern KYC program and how blockchain and other digital KYC processes can help organizations minimize their reliance on periodic reviews to maximize operational budgets while effectively mitigating risk. We will use case studies showing how organizations can leverage digitization, automation, and blockchain technology to modernize and develop perpetual KYC processes
The Know Your Client (“KYC”) Periodic Review process is a critical, but cumbersome, part of the risk-based approach of an organization’s BSA/AML Program. It is also one of the more complex governance issues modern financial institutions face, requiring institutions to assess customer risk as part broader client life cycle management process that must also meet other ancillary requirements, e.g. FATCA, Legal. Financial institutions spend millions of dollars every year bogged down by complex KYC requirements, customer outreaches, and disjointed processes that at times are subject to enforcement actions and large fines. In 2018, FinCEN’s Customer Due Diligence rule clarified that periodic review was not a categorical requirement for financial institutions, opening the door to the possibility that data and event driven risk-based review processes could replace periodic reviews. The Corporate Transparency Act of 2019 and Anti-Money Laundering Act of 2020 have further mandated the creation of a national beneficial ownership registry that will provide financial institutions with information that was previously not available without direct client outreaches as part of the periodic review process.
Sponsored by Sia Partners
Michael Vila, Esq., US Financial Crimes Advisory Leader, Sia Partners
Troy Burk, Global Head of Financial Crimes, TIAA CREFF
James Short, Managing Director, Global Head of FCRM, Global Banking and Markets and Enterprise Head of Anti Bribery and Corruption, Scotiabank
Gaurav Tiwari, Global Head of Governance and Controls Monitoring & Testing, State Street
Capping off the conference, industry leaders will look back on another extraordinary year in Financial Crimes compliance as well as what they are thinking about for their programs in the year ahead. Examine the latest AML and financial crime challenges, including best practices in enterprise financial crime compliance, amidst an evolving financial crime landscape and a whirlwind of regulatory change.
Adrienne Kosta, Head of Financial Crimes Program Office, Fidelity Investments
Jeremy Brayman, Head of Global Sanctions, Charles Schwab
Jason Foye, Senior Director - AML Investigative Unit, FINRA
Betty Santangelo, Of Counsel, Schulte Roth & Zabel
Diana Vargas, Financial Crimes Compliance Officer, BNY Mellon
Bernard Canepa, Managing Director, Associate General Counsel - Office of General Counsel, SIFMA
