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Dec 2017
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Baltimore Convention Center One West Pratt Street Baltimore , Maryland 21201
Tel: (410) 649-7000
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ABA/ABA Financial Crimes Enforcement Conference 2017 - American Bankers Association

1,000 0

Overview

Event Overview:

For the 29th consecutive year, the ABA/ABA Money Laundering Enforcement Conference will bring together the nation's top anti-money laundering financial services, legal, and law enforcement experts along with senior regulatory officials. The 2015 conference convened with over 1,050 attendees.  Co-sponsored by the American Bar Association, this is "the" reliable forum where you will find expert guidance designed and delivered by the leading authorities on anti-money laundering strategies and solutions. The sessions focus on all aspects of money laundering and fraud compliance, deterrence and enforcement as well as late-breaking regulatory issues and developments.

Exhibitor Information:

The exhibit hall of the ABA/ABA Money Laundering Enforcement Conference is growing every year. Make your plans now to be an exhibitor. We sell out early!

About the ABA:

Founded in 1875, the American Bankers Association represents banks of all sizes and charters and is the voice for the nation's $13 trillion banking industry and its 2 million employees.

Agenda

Dec 3   

7:30 am - 7:30 pm

CONFERENCE REGISTRATION OPEN

10:00 am - 11:30 am

CONCURRENT SESSIONS – SERIES 1: DEEP DIVES (6 CHOICES)
1A:   Third Line of Defense:  Assessing the Effectiveness of AML Controls(Repeated in 2A)
In this session, we’ll walk through updates you can make to your program by dissecting the role of the 3rd line of defense in rating the effectiveness of controls and how the first and second line monitoring activities can be leveraged for greater efficiency.
 

Speakers: 

Clayton J. Mitchell, CAMS, Principal, Crowe Horwath LLP

Randy L. Tripp, CPA, Managing Director and General Auditor, TD Ameritrade

1B:  Aren’t We Done Yet?  Diagnosing and Dealing with Current-Day Challenges of Legacy Transaction Monitoring (Repeated in 2B)
Many banks have had automated transaction monitoring solutions for years, yet are still plagued by ineffective rules or other issues that may compromise overall effectiveness.  How do you know?  This session will focus on identifying signs that you may have hidden issues and help you chart a way forward.
 

Speakers:

Timothy A. Lutz, Director, Financial Intelligence Unit, U.S. Bank National Association

Joe Soniat, CAMS-FCI, CFE, CAFP, BPC, Vice President - BSA AML Officer, Union Bank and Trust

1C:  International AML Hot Topics and Trade-Based Money Laundering Concerns (Repeated in 2C)
How are the current international and trade-based money laundering crimes and schemes impacting US banks?  These schemes may be global, but they can impact banks of all sizes.   We’ll walk through current risks, look at some recent case studies, and discuss proactive approaches for responding to and managing these risks.
 

Moderator: Lester M. Joseph, Senior Vice President, Manager, Global Financial Crimes Intelligence Group, Wells Fargo & Company

Speakers:

Marcy M. Forman, Managing Director, Global Investigations Unit, AML Compliance, Citigroup

Christopher Ruzich, CAMS, Team Lead, Major Cases & Sanctions Group, Investigations Unit, Financial Crime Compliance, Americas, Standard Chartered Bank

1D:  The Intersection of AML, CFT, Cyber and Fraud – Community Banks (Single Session – Mid-size/Large Bank Session 1F and 2F)
In a session designed for banks below $10B, experts will share leading practices and regulatory mandates in integrating AML, CFT, Cyber and Fraud risks as mandated by the recent FinCEN guidance.

1E:   What You Should Know About Rule 504 (Single Session)
As of January 1, 2017, New York state regulated institutions must certify annually that they are in compliance for maintaining programs to monitor and filter transaction for potential BSA and AML violations and prevent transactions with sanctioned entities.  We’ll discuss pain points and pitfalls while assessing the potential negative impact for non-NY institutions.
 

Moderator: Marikay Corcoran, Principal, KPMG

Speakers:

Maleka Ali, President, Arc-Serv, LLC

Helen V. Cantwell, Partner, Debevoise & Plimpton LLP

1F:  The Intersection of AML, CFT, Cyber and Fraud – For Mid-Size/Large Banks (Repeated in 2F)
In a session designed for banks above $10B, experts will share leading practices and regulatory mandates in integrating AML, CFT, Cyber and Fraud risks as mandated by the recent FinCEN guidance.
 

Speakers:

Kelley Chamberlain, CAFP, Financial Crimes Consultant,  Global Financial Crimes Intelligence Group, Wells Fargo & Company

Allen G. Love, Executive Vice President, Co-Head Global AML, US BSA Officer and US FCFMG, TD Bank

11:30 am - 1:30 pm

LUNCH ON YOUR OWN

1:30 pm - 3:00 pm

?CONCURRENT SESSIONS – SERIES 2: DEEP DIVES (6 CHOICES)
2A:   Third Line of Defense: Assessing the Effectiveness of AML Controls (Repeated from 1A)
In this session, we’ll walk through updates you can make to your program by dissecting the role of the 3rd line of defense in rating the effectiveness of controls and how the first and second line monitoring activities can be leveraged for greater efficiency.
 

Speakers: 

Clayton J. Mitchell, CAMS, Principal, Crowe Horwath LLP

Randy L. Tripp, CPA, Managing Director and General Auditor, TD Ameritrade


2B:  Aren’t We Done Yet?  Diagnosing and Dealing with Current-Day Challenges of Legacy Transaction Monitoring (Repeated from 1B)
Many banks have had automated transaction monitoring solutions for years, yet are still plagued by ineffective rules or other issues that may compromise overall effectiveness.  How do you know?  This session will focus on identifying signs that you may have hidden issues and help you chart a way forward.
 

Speakers:

Timothy A. Lutz, Director, Financial Intelligence Unit, U.S. Bank National Association

Joe Soniat, CAMS-FCI, CFE, CAFP, BPC, Vice President - BSA AML Officer, Union Bank and Trust

2C:  International AML Hot Topics and Trade-Based Money Laundering Concerns (Repeated from 1C)
How are the current international and trade-based money laundering crimes and schemes impacting US banks?  These schemes may be global, but they can impact banks of all sizes.   We’ll walk through current risks, look at some recent case studies, and discuss proactive approaches for responding to and managing these risks.

Moderator: Lester M. Joseph, Senior Vice President, Manager, Global Financial Crimes Intelligence Group, Wells Fargo & Company

Speaker: Marcy M. Forman, Managing Director, Global Investigations Unit, AML Compliance, Citigroup

2D:  FIU: From Talent Management to Governance – Operational Considerations for Mid-Size/Large Banks (Single Session – Community Bank Session in 2E)
Designed for Mid-Size to Large Institutions, this strategic session will cover some far reaching critical issues surrounding the effective operation of your Financial Intelligence Unit.  We’ll cover talent management, roles and responsibilities of the FIU, composition of the FIU, governance concerns and more. 
 

Moderator: Mia Levine, Senior Vice-President and Head of U.S. Financial Intelligence Unit, Global Anti-Money Laundering, TD Bank, America's Most Convenient Bank

Speakers: 

Bonnie Goldblatt, CAMS, Director, Global Investigations/AML Compliance, Citigroup, Inc.

Evan Weitz, Head of Investigations, Financial Crime Compliance Conference - Americas, Standard Chartered Bank

2E:  FIU: From Talent Management to Governance – Operational Considerations  - Community Banks  (Single Session – Mid-Size/Large Bank Session in 2D)
Designed for banks under $10B in assets, this strategic session will cover some far reaching critical issues surrounding the effective operation of your Financial Intelligence Unit or your Fraud and AML groups.  We’ll cover talent management, roles and responsibilities, composition of an FIU for a community bank, governance concerns and more.
 

Moderator: Mia Levine, Senior Vice-President and Head of U.S. Financial Intelligence Unit, Global Anti-Money Laundering, TD Bank, America's Most Convenient Bank

Speakers: 

Elliot H. Berman, Esq., Principal, Bowtie Advisors, LLC

Bonnie Goldblatt, CAMS, Director, Global Investigations/AML Compliance, Citigroup, Inc.

Evan Weitz, Head of Investigations, Financial Crime Compliance Conference - Americas, Standard Chartered Bank

2F:  The Intersection of AML, CFT, Cyber and Fraud – For Mid-Size/Large Banks (Repeated from 1F)
In a session designed for banks above $10B, experts will share leading practices and regulatory mandates in integrating AML, CFT, Cyber and Fraud risks as mandated by the recent FinCEN guidance.
 

Speakers:

Kelley Chamberlain, CAFP, Financial Crimes Consultant,  Global Financial Crimes Intelligence Group, Wells Fargo & Company

Allen G. Love, Executive Vice President, Co-Head Global AML, US BSA Officer and US FCFMG, TD Bank 

3:15 pm - 4:45 pm

GENERAL SESSION 
Roundtable Challenges and Solutions in Managing the Financial Crimes Function
In this must-see session, experts will cover a myriad of emerging challenges and how to balance operational, regulatory and personal expectations.  Discussion topics range from individual liability to the culture of compliance, determining and covering the cost of effective compliance, and how to balance company and regulatory expectations.
 

Moderator: Ryan Rasske, Senior Vice President, Risk and Compliance, American Bankers Association

Speakers: 

Allen G. Love, Executive Vice President, Co-Head Global AML, US BSA Officer and US FCFMG, TD Bank

Julio Roman, Senior Vice President, BSA Officer, Loan Star National Bank

Christopher D. Simpkins, CAMS, BSA and OFAC Officer, Arvest Bank

Richard Weber, Managing Director, Americas Head of Anti-Financial Crime, Deutsche Bank

5:00 pm - 6:00 pm

GENERAL SESSION
Reg Tech: The Impacts on Financial Crime Investigations
Experts in reg tech trends will debate and discuss the latest developments in reg tech, including the specific use of AI in your investigative processes.  They will also explore barriers to embracing technology, especially for community banks, and the role of effective governance.  Finally, the session will determine the cost impacts in establishing a sufficient control environment and more.
 

Moderator: Teresa A. Pesce, Principal, KPMG, LLP

Speakers:

Jo Ann Barefoot, CEO Barefoot Innovation Group

Yvette Hollingsworth Clark, Regulatory Innovation Officer, Global Financial Institutions, Board Director, Risk & Regulatory Compliance Expert, Wells Fargo

Peter J. Neilson, CAMS, Managing Director, Anti-Money Laundering Compliance, JPMorgan Chase Bank

Kevin Petrasic, Partner, White & Case LLP

6:15 pm - 7:15 pm

OPENING RECEPTION IN THE MARKETPLACE

Dec 4   

7:00 am - 6:30 pm

CONFERENCE REGISTRATION OPEN

7:00 am - 8:00 am

POWER HOUR BREAKFAST SESSIONS 
Enjoy a continental breakfast while you listen to key industry experts.
 

Power Hour Session #1—Sponsored by BAE Systems

Power Hour Session #2—Sponsored by Buckley Sandler

Power Hour Session #3—Sponsored by RSM LLP

RSM AML Survey:  Best Practices and Benchmarking for Your AML Program
The RSM AML Survey was developed to help banks understand best practices and benchmark their AML compliance efforts against peers. RSM AML and regulatory compliance leaders share insights from this comprehensive resource, including detailed analysis of AML functional structures, staffing levels and certifications, costs, risk tolerance, performance of key compliance processes, technology and training.  
 

Speakers:

Ty Beasley, Office Managing Partner and Central Region Risk Advisory Leader

Rob Farling, National Regulatory Compliance Leader

Nick Mustafa, Great Lakes Regulatory Compliance Leader

Patricio Perez, Partner

7:30 am –  8:00  am

CONTINENTAL BREAKFAST IN THE MARKETPLACE

8:15 am - 10:15 am

GENERAL SESSION 
Regulatory Enforcement Issues 
This is your annual "not-to-miss" regulatory update.  Key note addresses with a concluding panel discussion will provide you with critical regulatory updates and exam hot button issues.
 

Moderator: Robert G. Rowe, III, Vice President, Associate Chief Counsel, Regulatory Compliance, American Bankers Association 


 

Part 1:  Conversation with FinCEN and OFAC

Jamal El-Hindi, Acting Director, Regulatory Policy and Programs Division, Financial Crimes Enforcement Network (FinCEN) 

John Smith, Director, Office of Foreign Assets Control


 

Part 2:  Regulatory Panel Discussion

Invited: Sarah Green, Senior Director, Enforcement and AML Policy, FINRA

Koko Ives, Manager, BSA/AML Compliance Section, Division of Banking Supervision and Regulation, Board of Governors of the Federal Reserve System

Donna Murphy, Deputy Comptroller for Compliance Risk Policy, Office of the Comptroller of the Currency

Debra L. Novak, Chief, Anti-Money Laundering Section, Division of Risk Management Supervision, Federal Deposit Insurance Corporation

Andrea M. Sharrin, Director, Policy Division, Financial Crimes Enforcement Network

?10:15 am - 10:45 am

?COFFEE BREAK IN THE MARKETPLACE

10:45 am - 12:00 pm

CONCURRENT SESSIONS - SERIES 3 (6 CHOICES)
3A:  Threats and Red Flags: Emerging Fraud Risks (Repeated in 4A) 
In this comprehensive session, we’ll discuss leading practices in collecting, analyzing and acting on newly emerging fraud and AML threats and red flags. Additionally, we’ll make suggestions on adjustments you should make to your transaction monitoring systems.
 

Speakers:

Jason M. Gialanella, CFE, CAMS, Senior Vice President, Executive Director of Fraud Investigations, US Bank

Jeff Kearney, CFE, Executive Director, Enterprise Fraud, Security and Investigations, Ally Financial Inc.

3B:  Moving Beyond MSBs and Money Transmitters:  New Payment AML Threats (Repeated in 4B) 
With the growth of service providers and various new payments business models, you must stay ahead of the trends to avoid vulnerabilities to money laundering and fraud.  Our session will focus on identifying different types of payment flows, the risks involved and how to combat these risks.
 

Moderator/Speaker:  James J. Finnerty, CAMS, Director, Global Commercial Banking, AML Compliance Risk Management, Citigroup

Speaker: Melissa Strait, U.S. Compliance Officer, Stripe, Inc.

3C:  A Tactical Approach to CDD/Beneficial Ownership – Mid-Size/Large Banks (Single Session – Community Bank Session in 4C) 
It is countdown to implementation!  Attendees should not expect a review of the rule, but a discussion regarding pitfalls and program gaps along with the issues surrounding banking high risk customers.  This session is specifically geared towards mid-size and large institutions.
 

Moderator/Speaker: Daniel P. Stipano, Partner, Buckley Sandler LLP

Speakers:

Anna M. Rentschler, CRCM, Vice President and BSA Officer, Central Bancompany

Christopher D. Simpkins, CAMS, BSA and OFAC Officer, Arvest Bank 

3D:  Data Quality (Repeated in 5D) 
When it comes to data quality – how do you even know you have issues?  We’ll get to the heart of the problem –including starting with answering the question of what is meant by data quality.  We’ll discuss the range of controls needed and what’s good, better and best as well as providing you with a model data analysis roadmap for your institution.
 

Speaker: Jim Arndts, CAMS, Senior Vice President/Director, Transformation and Reporting, Enterprise Financial Crimes Compliance Strategy, U.S. Bank

3E: Sanctions Enforcement Trends (Repeated in 4E) 
The sanctions environment is especially volatile now – and this session is designed to bring you up to speed on the latest sanctions concerns both domestically and internationally.  In addition to a full review of expectations of response to the latest sanctions, expect a discussion of the 50% ownership rule.
 

Moderator: Debra A. Roberts, Managing Director and Associate General Counsel, JPMorgan Chase Bank, NA

Speakers: 

Lorraine B. Lawlor, Senior Vice President, Global Sanctions Governance Director, Wells Fargo Bank, N.A.

Daniel I. Tannebaum, Partner - Financial Crimes Unit and Global Financial Services Sanctions Leader, PwC

Timothy R. White, CAMS, BSA & OFAC Automation Specialist, Banker's Toolbox Incorporated

3F:  Model Governance – Community Banks (Single Session – Mid-Size/Large Bank Session in 4F) 
Community banks will hear the latest supervisory expectations on model risk governance as it applies to AML models, sanctions models and KYC customer risk models.  We’ll also discuss current issues in validation including frequency, other parameters and effective reporting.
 

Speakers: 

Carl E. Case III, Senior Manager, Financial Services Office, Ernst & Young LLP

Ann Marie Tarantino CRCM, CRP, AMLP, Senior Vice President and Chief Compliance Officer, Esquire Bank

12:15 pm - 1:45 pm

LUNCHEON WITH SPEAKER
Featuring a Keynote Address by:
 

The Honorable Sigal P. Mandelker, Under Secretary for Terrorism and Financial Crimes, U.S. Department of the Treasury

1:45 pm - 2:30 pm

DESSERT IN THE MARKETPLACE

2:30 pm - 3:45 pm

CONCURRENT SESSIONS – SERIES 4 (6 CHOICES)
4A:  Threats and Red Flags: Emerging Fraud Risks (Repeated from 3A)
In this comprehensive session, we’ll discuss leading practices in collecting, analyzing and acting on newly emerging fraud and AML threats and red flags. Additionally, we’ll make suggestions on adjustments you should make to your transaction monitoring systems.
 

Speakers:

Jason M. Gialanella, CFE, CAMS, Senior Vice President, Executive Director of Fraud Investigations, US Bank

Jeff Kearney, CFE, Executive Director, Enterprise Fraud, Security and Investigations, Ally Financial Inc.

4B:  Moving Beyond MSBs and Money Transmitters:  New Payment AML Threats (Repeated from 3B)
With the growth of service providers and various new payments business models, you must stay ahead of the trends to avoid vulnerabilities to money laundering and fraud.  Our session will focus on identifying different types of payment flows, the risks involved and how to combat these risks.
 

Moderator/Speaker:  James J. Finnerty, CAMS, Director, Global Commercial Banking, AML Compliance Risk Management, Citigroup

Speaker: Melissa Strait, Compliance Officer, Stripe

4C:  A Tactical Approach to CDD/Beneficial Ownership – Community Banks (Single Session - Mid-Size/Large Banks in 3C)
It is countdown to implementation!  Attendees should not expect a review of the rule, but a discussion regarding pitfalls and program gaps along with the issues surrounding banking high risk customers.  This session is specifically geared towards community banks.
 

Moderator/Speaker: Daniel P. Stipano, Partner, Buckley Sandler LLP

Speakers:

Anna M. Rentschler, CRCM, Vice President and BSA Officer, Central Bancompany

Christopher D. Simpkins, CAMS, BSA and OFAC Officer, Arvest Bank

4D:  Banking Marijuana Businesses and Other Non-Traditional Businesses:  Answers or More Questions?  (Repeated in 6E)
Will the new administration take a tougher federal stance on banking legally operating marijuana businesses?  What are the current leading practices and front line controls banks are using in evaluating the risk of non-traditional business customers?  These are just a couple of the many questions that bankers are asking and we’ll provide leading practices to help improve your program.
 

Speakers: 

Robert G. Rowe (Rob), III, Vice President/Associate Chief Counsel, Regulatory Compliance, American Bankers Association 

John W. Vardaman, Executive Vice President, General Counsel, Hypur


4E:  Sanctions Enforcement Trends (Repeated from 3E)
The sanctions environment is especially volatile now – and this session is designed to bring you up to speed on the latest sanctions concerns both domestically and internationally.  In addition to a full review of expectations of response to the latest sanctions, expect a discussion of the 50% ownership rule.
 

Moderator: Debra A. Roberts, Executive Director and Assistant General Counsel, JPMorgan Chase Bank, NA

Speakers: 

Lorraine B. Lawlor, Senior Vice President, Global Sanctions Governance Director, Wells Fargo Bank, N.A.

Daniel I. Tannebaum, Partner - Financial Crimes Unit and Global Financial Services Sanctions Leader, PwC

Timothy R. White, CAMS, BSA & OFAC Automation Specialist, Banker's Toolbox Incorporated

4F:  Model Governance – Mid-Size/Large Banks (Single Session – Community Bank Session in 3F)
Mid-Size and Large Institutions will hear the latest supervisory expectations on model risk governance as it applies to AML models, sanctions models and KYC customer risk models. We’ll also discuss current issues in validation, including frequency, other parameters and effective reporting. 
 

Speakers: 

Carl E. Case III, Senior Manager, Financial Services Office, Ernst & Young LLP

Ann Marie Tarantino CRCM, CRP, AMLP, Senior Vice President and Chief Compliance Officer, Esquire Bank

4:00 pm - 5:15 pm

?CONCURRENT SESSIONS – SERIES 5(6 CHOICES)
5A:  KRI’s and Other Metrics for Senior Management and the Board – Mid-Size/Large Bank (Single Session – Community Bank Session is in 6A)
Do your metrics provide the information you and your senior management needs to ensure your program is meeting regulatory expectations and managing risks effectively?  Are they aligned with current risk tolerance policies?  Join us as we explore ideas for strong data analytics and metrics that can be used to better manage AML risks and improve the efficiency of your BSA/AML program.  This session is for Mid-Size/Large Institutions.
 

Speakers: 

Josh van Hulst, GC and CCO, Darien-Rowayton Bank

Ross Marrazzo, Managing Director, Treliant Risk Advisors

Steve R. Rayo, Senior Vice President/US Head of Retail and Private Banking, Financial Crimes Compliance, HSBC Bank

Ann M. reilly, Head of Financial Crimes, USAA
 

5B:  AML and Tax (Single Session)
Last year, the buzz about the Panama papers was all we could talk about in our AML/Tax session.  This year, we’ll continue that conversation on the Panama papers, but we will also discuss new and emerging tax issues that every AML officer should know.
 

Moderator: Wilmer Parker (Buddy), Partner, Maloy Jenkins Parker 

Speakers: 

Caroline D. Ciraolo, Partner, Kostelanetz & Fink, LLP

Marcy M. Forman, Managing Director, Global Investigations Unit, AML Compliance, Citigroup

Scott D. Michel, Member, Caplin & Drysdale

5C: New Product AML Risk Assessment (Repeated in 6C)
As new products continue to emerge, are you certain you are assessing the full range of new risks associated with these new products?  This session for community and mid-size banks will provide ideas to improve your risk assessment for a range of new products such as crypto currency, mobile payments and more.
 

Speakers:

William D. Tucker, CIA, CRCM, CAFP, Director of Compliance and Operational Risk Management, State Bank and Trust Company

John Wagner, Managing Director, Deloitte Advisory, Anti-Money Laundering and Sanctions Consulting

5D: Data Quality (Repeated from 3D)
When it comes to data quality – how do you even know you have issues?  We’ll get to the heart of the problem –including starting with answering the question of what is meant by data quality.  We’ll discuss the range of controls needed and what’s good, better and best as well as providing you with a model data analysis roadmap for your institution.
 

Speaker: Jim Arndts, CAMS, Senior Vice President/Director, Transformation and Reporting, Enterprise Financial Crimes Compliance Strategy, U.S. Bank


5E:  Derisking Impact for Community and Mid-Size Banks (Repeated in 6D)
In recent years, this conference has focused on derisking issues, but mainly as they apply to larger banks.  The question now is, as derisking is occurring at larger banks, how should mid-size and community banks deal with the downstream impacts?  Join us as we discuss what you can do to protect your institution when evaluating high risk customers.
 

Moderator: Linda Noonan, Of Counsel, Gibson Dunn & Crutcher LLP, Washington, DC

Speaker: Julio Roman, Senior Vice President, BSA Officer, Lone Star National Bank

5F:  Negative News:  Verified vs. Unverified (Repeated in 6F)
How are you dealing with our current “obese” negative news environment? What is your process for objective verification?  What are your standards?  Join us as we discuss knowing the difference between fact vs opinion and your response to these news items to successfully protect your institution from financial crime and reputational damage.
 

Moderator: Jim Arndts, CAMS, Senior Vice President/Director, Transformation and Reporting, Enterprise Financial Crimes Compliance Strategy, U.S. Bank

Speakers: 

James Candelmo, Chief AML Officer, Corporate Compliance, Capital One

Daniel Wager, CAMS, CFE, Vice President, Global Financial Crime and Compliance, LexisNexis

5:30 pm - 6:30 pm

?GENERAL SESSION
The Dark Web and More:  Monitoring and Detecting Cyber-Enabled Crimes
Join us as we explore cyber-enabled criminal threats and methodologies and how the dark web is being used to target individuals and institutions.  You’ll walk away better informed on detection leading practices and expectations for reporting and working with law enforcement.
 

Moderator: Ryan Rasske, Senior Vice President, Risk and Compliance, American Bankers Association

Speakers:

Kelley Chamberlain, CAFP, Financial Crimes Consultant,  Global Financial Crimes Intelligence Group, Wells Fargo & Company

Joshua J. Larocca, Managing Director, Stroz Friedberg

Justin Nordine, Strategy Consultant, Wells Fargo


 

6:30 pm - 7:30 pm

?RECEPTION IN THE MARKETPLACE
 

Dec 5   

7:00 am - 3:00 pm

CONFERENCE REGISTRATION OPEN

7:00 am - 8:00 am

POWER HOUR BREAKFAST SESSIONS 
Enjoy a continental breakfast while you listen to key industry experts.
 

Power Hour Session #1-Sponsored by KPMG

Power Hour Session #2-Sponsored by Pitney Bowes

Power Hour Session #3-Sponsored by Verafin

7:30 am - 8:00 am

CONTINENTAL BREAKFAST IN THE MARKETPLACE

8:15 am - 9:30 am

?GENERAL SESSION

The Legal Implications of Recent Fraud and Money Laundering Cases
Our legal eagles, including a former community bank CEO will walk through recent cases and discuss lessons learned, actions bankers should be taking in response and where exams may be taking a cue from these cases.
 

Moderator: Gordon Greenberg, Partner, McDermott Will and Emery

Speakers:

Conner Eldridge, Former United States Attorney, Western District of Arkansas

Jonathan E. Lopez, Partner, White Collar & Corporate Investigations, Orrick, Herrington & Sutcliffe LLP

Wilmer Parker (Buddy), Partner, Maloy Jenkins Parker

9:30 am - 10:15 am

COFFEE BREAK IN THE MARKETPLACE

10:15 am - 11:30 am

CONCURRENT SESSIONS - SERIES 6 (6 CHOICES)
6A:  KRI’s and Other Metrics for Senior Management and the Board – Community Bankers (Single Session – Mid-Size/Large Bank Session is in 5A) 
Do your metrics provide the information you and your senior management needs to ensure your program is meeting regulatory expectations and managing risks effectively?  Are they aligned with current risk tolerance policies?  Join us as we explore ideas for strong data analytics and metrics that can be used to better manage AML risks and improve the efficiency of your BSA/AML program.  This session is for banks under $10B in assets. 
 

Speakers: 

Josh van Hulst, GC and CCO, Darien-Rowayton Bank

Ross Marrazzo, Managing Director, Treliant Risk Advisors

6B:  M&A AML Due Diligence Hot Topics (Single Session)
Your bank is undergoing a merger or acquisition—congratulations, but now what?  This session will examine the process from beginning to end, including what to look for during the due diligence phase, deciding how (or if!) to integrate your BSA programs, dealing with new or expanded regulatory expectations, and everything in between.
 

Moderator/Speaker: Christopher D. Simpkins, CAMS, BSA and OFAC Officer, Arvest Bank

Speakers: 

Becky Robertson CAMS-Audit, CFE, CAFP, Executive Vice President, Director of AML Compliance, South State Bank

Anna M. Retschler, CRCM, Vice President and BSA Officer, Central Bancompany

6C:  New Product AML Risk Assessment (Repeated from 5C)

As new products continue to emerge, are you certain you are assessing the full range of new risks associated with these new products?  This session for community and mid-size banks will provide ideas to improve your risk assessment for a range of new products such as crypto currency, mobile payments and more.
 

Speaker: William D. Tucker, CIA, CRCM, CAFP, Director of Compliance and Operational Risk Management, State Bank and Trust Company

6D:  Derisking Impact for Community and Mid-Size Banks (Repeated from 5E)
In recent years, this conference has focused on derisking issues, but mainly as they apply to larger banks.  The question now is, as derisking is occurring at larger banks, how should mid-size and community banks deal with the downstream impacts?  Join us as we discuss what you can do to protect your institution when evaluating high risk customers.
 

Moderator: Linda Noonan, Of Counsel, Gibson Dunn & Crutcher LLP, Washington, DC

Speaker: Julio Roman, Senior Vice President, BSA Officer, Lone Star National Bank

6E:  Banking Marijuana Businesses and Other Non-Traditional Businesses:  Answers or More Questions?  (Repeated from 4D)
Will the new administration take a tougher federal stance on banking legally operating marijuana businesses?  What are the current leading practices and front line controls banks are using in evaluating the risk of non-traditional business customers?  These are just a couple of the many questions that bankers are asking and we’ll provide leading practices to help improve your program.
 

Speakers: 

Robert G. Rowe (Rob), III, Vice President/Associate Chief Counsel, Regulatory Compliance, American Bankers Association 

John W. Vardaman, Executive Vice President, General Counsel, Hypur

 6F:  Negative News:  Verified vs. Unverified (Repeated from 5F)
How are you dealing with our current “obese” negative news environment? What is your process for objective verification?  What are your standards?  Join us as we discuss knowing the difference between fact vs opinion and your response to these news items to successfully protect your institution from financial crime and reputational damage.
 

Moderator: Jim Arndts, CAMS, Senior Vice President/Director, Transformation and Reporting, Enterprise Financial Crimes Compliance Strategy, U.S. Bank

11:30 am - 1:15 pm

SEATED LUNCHEON FEATURING A PANEL DISCUSSION
Conduct Culture: Considerations for the Financial Crimes Community

 

Speaker: Pam Dearden, Head of Conduct and Culture, JPMorgan Chase & Co

1:15 pm - 2:00 pm

FINAL DESSERT IN THE MARKETPLACE

2:00 pm - 3:00 pm

?GENERAL SESSION 
Reimagining BSA/AML Compliance
This may be the last session of the conference, but this is not the session to skip.  In this fast-paced session, we’ll discuss the ever-increasing costs of compliance relative to intended vs. actual results, and opportunities to better focus limited resources towards supporting prevention and detection of money laundering and other financial crimes.  Finally, the panel will explore potential substantive changes to the BSA/AML regulatory scheme that would make the system more efficient and effective.
 

Moderator: María De Lourdes Jiménez, Esq., Senior Vice President and Manager, Corporate Compliance Director, Corporate Compliance Division, Popular, Inc.

Speakers: 

James R. Richards, Executive Vice President/BSA Officer, Wells Fargo & Company

Robert G. Rowe (Rob) III, Vice President/Associate Chief Counsel, Regulatory Compliance, American Bankers Association

Daniel P. Stipano, Partner, Buckley Sandler LLP

Ellen Zimiles, Managing Director, Head of Global Investigations and Compliance Navigant

3:00 pm

?CONFERENCE ADJOURNS

Keynote Speakers

Sigal P. Mandelker

Under Secretary for Terrorism and Financial Crimes, U.S. Department of the Treasury

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