Fraud and Financial Crime USA

Evolution of fraud, financial crime & AML threats and management in practice

Fraud and Financial Crime USA

March 27 – 28 | New York City

GLOBAL REGULATORY ALIGNMENT
Balancing global regulatory requirements for fraud and AML to align practices globally

INTELLIGENCE
Aligning cooperation and intelligence sharing across public and private sectors

CYBER RISK
Limiting exposure from cyber threats and streamlining controls

RISK ASSESSMENT
Connecting risk ratings and risk assessments for increased oversight of the fraud threat landscape

BENEFICIAL OWNERSHIP
Implementation of beneficial ownership to increase transparency and ensure compliance

CRYPTOCURRENCY
Understanding industry trends and uses of cryptocurrencies and adapting systems and controls

BIOMETRICS AND AUTHENTICATION
Technology uses for enhanced authentication and uses of biometrics to improve KYC and customer authentication

BANKING MARIJUANA
Federal implications of banking Marijuana money and movement of cash across State lines

SANCTIONS
Adapting to the dynamic nature and recurring changes to sanctions to ensure compliance

Shawn Polonet

Shawn Polonet
Assistant Special Agent in Charge
U.S. Department of Homeland Security, Homeland Security Investigations 

Tanweer

Tanweer Ansari
SVP and Chief Compliance/BSA/CRA Officer
First National Bank of Long Island

Sean O'Malley

Sean O’Malley
Head of AML and Sanctions Risk Assessment
State Street

Dalit Stern

Dalit Stern
Director of Enterprise Fraud Risk Management
TIAA Financial Services

Joshua Oliver

Joshua Oliver
Chief Compliance Officer
Metropolitan Commercial Bank

Michael Schidlow

Michael Schidlow
Head of Financial Crime Risk Training and Emerging Risk Advisory, Global Internal Audit
HSBC

Carlos

Carlos Orel
Head of AML Risk and Monitoring
TD Bank

Lester Joseph

Lester Joseph
Head, Global Financial Crimes Intelligence Group
Wells Fargo & Company

08:00 Registration and breakfast

08:50 Chair’s opening remarks

REGULATORY REQUIREMENTS PANEL DISCUSSION
09:00 Balancing global regulatory requirements for fraud and AML to align practices globally

  • Regulatory guidance for clients across jurisdiction to limit fraud and money laundering
  • Global standards to handle KYC efficiently
  • Cost cutting and downsizing increasing operational risk
  • Balancing local legislation and bank policy
  • Finding similarities in different legislations to achieve common goals
  • Opportunities for fraudsters through regulatory divergence

Joshua Oliver, Chief Compliance Officer, Metropolitan Commercial Bank
Sandeep Sharma, 
CAMLO, KEB Hana Bank Canada
James Stubbs, Former Managing Director, Deputy Global Head Anti-Money Laundering, Citi

BENEFICIAL OWNERSHIP
09:50 Reserved for BVD

10:25 Morning refreshment break and networking

PANEL DISCUSSION 
10:55 Implementation of beneficial ownership to increase transparency and ensure compliance

  • Collection of beneficial ownership and persons of significant control
  • Increasing transparency
  • Increasing customer confidence
  • Leveraging information
    • Use in risk rating, identification of high-risk customers
  • Increasing transparency within entities for better information control
  • Identifying the real account owner

Sean O’Malley, Head of AML and Sanctions Risk Assessment, State Street
Rebecca “Becky” Schauer Robertson, 
EVP, Director of AML Compliance, South State Bank
Anders Rodenberg, Head of Financial Institutions and Advisory, Americas, Bureau van Dijk, A Moody’s Analytics Company

DATA PRIVACY
11:45 Legislative limitations of intelligence sharing and impact on mitigation of fraud and financial crimes

  • Global privacy legal frameworks
    • GDPR, Bank Secrecy Act, Canadian privacy legal framework
  • Managing data internally to identify fraudulent activity
  • Leveraging consortium databases to develop intelligence
  • Progression of Bank Secrecy Act and Patriot Act
  • 314B request timelines to response and quality of information shared

Carlos Orel, Head of AML Risk and Monitoring, TD Bank

12:20 Lunch break and networking

INTELLIGENCE PANEL DISCUSSION
1:20 Aligning cooperation and intelligence sharing across public and private sectors

  • Sharing of fraudulent activity
  • SAR filing to report fraudulent activity
    • Time to action
  • Tight privacy laws across borders restricting collaboration
  • Increasing intelligence sharing between law enforcement, regulators and banks
  • Ensuring effective sharing of information to boost prevention of fraud and financial crime
  • Seeking to achieve pro-active intelligence gathering approach
  • Maximizing utilization of law enforcements cross-institutional data and banks’ hi-tech software

Mandy Ramlow, Director, VP, U.S. AML Financial Intelligence Unit, BMO Harris Bank N.A.
Brian Mannion, Managing Counsel, Nationwide
Lester Joseph, Head, Global Financial Crimes Intelligence Group, Wells Fargo & Company
Bryan P. Smith,
Assistant Special Agent in Charge, Federal Bureau of Investigation.

CYBERSECURITY
2:10 Limiting exposure from cyber threats and streamlining controls

  • Threshold for filing SAR on cyber events
  • Criteria of what should be reported vs day to day events
  • Considering all potential avenues intrusion can take place
  • Risk factors: controls and mitigation
  • Time to investigate customer loss and loss of funds
    • Enhancing customer experience with fraud measures
  • Where are the gaps of exposure?
  • Vulnerabilities exposing fraudsters to access
  • Location and device identification

Kenneth Jones, Head of Fraud Risk Management and Financial Intelligence Unit, UBS tbc

RISK ASSESSMENT PANEL DISCUSSION
2:45 Connecting risk ratings and risk assessments for increased oversight of the fraud threat landscape

  • Product level risk assessment vs. comprehensive fraud risk assessment
  • Aligning risk assessment and operational teams
    • Connecting risk rating and risk assessment for transaction monitoring
  • Resource allocation to genuine threats
  • Improving risk assessment management with holistic solutions
  • Optimizing risk prevention and detection

Dalit Stern, Director of Enterprise Fraud Risk Management, TIAA Financial Services
Sean O’Malley, Head of AML and Sanctions Risk Assessment, State Street
Tanweer Ansari, SVP and Chief Compliance/BSA/CRA Officer, First National Bank of Long Island

3:35 Afternoon refreshment break and networking

VENDOR AND THIRD PARTY
4:05 Managing vendors & third parties to ensure security and reliance on process offerings

  • Managing third party vendors
  • Facilitating transactions between customers
  • Volume and frequency of third parties in data processes
  • Relying on third party processes and programs
  • Setting up governance and controls for vendors
  • Data privacy restrictions

Edward L. Glenn, Former SVP, US Head of Financial Crimes Risk – Audit, Exam & Issues Management, HSBC

BENCHMARKING

4:40 Standardizing industry data collection for increased intelligence and data sharing across institutions

  • Limitations with quality of data across institutions
  • Ability to generate effective intelligence analytics and quantify exposure
  • Quality of data impacting ability to store in a consortium
  • Standardising data collection to create alerts and limit false positives
  • Fraudsters not limited by poor data
    • Connected world making it easier
  • Analytical software and sophistication to examine data
  • Blending legacy data into new evolving systems
  • Moving data internally to identify fraud
  • How to avoid gaps which require further analysis and prioritization of issues

5:15 Chair’s closing remarks

5:25 End of day one and networking drinks reception

*Please note: The agenda is subject to change

08:00 Registration and breakfast

08:50 Chair’s opening remarks

CRYPTOCURRENCY PANEL DISCUSSION
09:00 Understanding industry trends and uses of cryptocurrencies and adapting systems and controls

  • Enhanced due diligence to track source and destination of funds
  • Technology to enable transaction monitoring of cryptocurrencies
  • Using as a way to convert and transfer illegal funds
  • Security of cryptocurrency ATMs from deposit of illegal funds
  • Regulatory guidance on usage
  • Adapting systems and building controls
  • Creating and applying risk assessments
  • Increased exposure to digital currency exchanges through customers

Michael Schidlow, Head of Financial Crime Risk Training and Emerging Risk Advisory, Global Internal Audit, HSBC
Thomas Armstrong, VP, Head of Financial Intelligence Unit, Goldman Sachs
Jake van der Laan, Director, Information Technology and Regulatory Informatics and Director Enforcement, Financial and Consumer Services Commission
Milan R. Kosanovich, 
Supervisory Special Agent, Federal Bureau of Investigation

09:50 The cryptocurrency eco system – a new frontier in consumer protection

  • An overview of the growing cryptocurrency ecosystem and some of the features which provide challenges to regulators and law enforcement
  • A review of the risks posed by the ecosystem
  • A discussion of how best to provide consumer protection

Jake van der Laan, Director, Information Technology and Regulatory Informatics and Director Enforcement, Financial and Consumer Services Commission

10:30 Morning refreshment break and networking

BANKING MARIJUANA
11:00 Federal implications of banking Marijuana money and movement of cash across State lines

  • Treatment for federally insured banks
  • Conflictions of Article 2 of the constitution and the 10th amendment
  • Treatment of illegal tax money in states legalizing usage
  • Implications across industries:
    • Can an attorney take the money?
  • Banking money earned from second tier client
  • Clashes between federal and state laws

Lester Joseph, Head, Global Financial Crimes Intelligence Group, Wells Fargo & Company

BIOMETRICS AND AUTHENTICATION PANEL DISCUSSION
11:40 Technology uses for enhanced authentication and uses of biometrics to improve KYC and customer authentication

  • Technology advances in attacks and defence
  • Convergence of intelligence and analytics
    • Authentication tools, Analytical tools, Risk grading tools
  • Synthetic IDs
    • Identifying scams passing controls
    • Effective identification of controls
  • Biometrics and levels of authentication
  • Managing volumes of people and transactions to authenticate vs. cost

Corey A. Reason, Group Head of Financial Crime Compliance, Clarien Bank Limited
Terry Mulder, Fraud Risk Director, Ally Financial

12:30 Lunch break and networking

ACCOUNT TAKEOVER
1:30 Identifying account takeovers through effective KYC to limit access and reputational fallout

  • Shift towards stealing identities
  • Fraudsters reaping rewards of good customers
  • Differentiating between good returning customer and good customer who has been taken over by a fraudster
  • Differences between fraudster and good customer
    • Behaviour and device information
  • Balancing resources and limiting customer friction
  • GDPR impacts for privacy of customers

Candler Eve, Director, Enterprise Fraud, First Financial Bank

TRIGGER MECHANISMS PANEL DISCUSSION
2:10 Updating trigger mechanism beyond cash to include wire payments with the increase in digital payments

  • BSA and AML regulations focus on dirty money
  • Shift of focus to what happens if dirty cash enters financial institutions
    • Deposits and withdrawals triggering red flags
  • Should wire transfers be treated as cash for triggering transactional review
  • Developing a central database of wire transactions
  • Identifying customer behaviours triggering suspicious activity reports
  • International requirements

Corey A. Reason, Group Head of Financial Crime Compliance, Clarien Bank Limited

2:50 Afternoon refreshment break and networking

CASE STUDY
3:20 U.S. v. Prevezon Ltd.: a trans-national money laundering case

  • A Complex $230 Million Russian Tax Fraud
  • Foreign Public Corruption
  • Trans-National Money Laundering
  • Genesis of the Magnitsky Act

Shawn Polonet, Assistant Special Agent in Charge, U.S. Department of Homeland Security, Homeland Security Investigations

SANCTIONS
4:00 Implementing a risk and control points to identify securities across trade lifecycle

  • Creating securities and control frameworks
  • Understanding risk and control points
  • Screening product catalogues for securities
    • Identifying controls downstream
  • Execution and life cycle of a trade
  • Impact downstream of mis-applying obligations or missing point of control
    • Statute of limitation

4:40 Chair’s closing remarks

4:50 End of Congress

*Please note: The agenda is subject to change
Tanweer
Tanweer Ansari, SVP and Chief Compliance/BSA/CRA Officer, First National Bank of Long Island

Tan is Senior Vice President and Chief Compliance/BSA/CRA Officer of First National Bank of Long Island. He brings to his current position a broad base of experience in banking operations, compliance and the law. Tan works with the Board, Senior Management and all staff to ensure the Bank continues to expand strategically and concurrently meet all regulatory requirements.

Tan maintains many leadership roles that involve both banking issues as well as community issues. Concurrently, Tan is the Chairman of the New York State Bar Association Banking Law Committee which considers the major and developing issues affecting depository institutions and other financial services providers. Tan is also the Vice President of the Board of the Long Island Banks Compliance Association. Tan is also a 2018 Honoree for the Executive Circle Award sponsored by the Long Island Business News. The Executive Circle Awards celebrates c-suites, directors and other senior level executives who consistently demonstrate remarkable leadership skills, integrity, values, vision, commitment to excellence, company performance, community service and diversity.

Prior to joining First National Bank of Long island, Tan served as Associate General Counsel, Compliance Officer and BSA Officer at Bethpage Federal Credit Union, the largest credit union in New York State and the 16th largest nationwide. At Bethpage, he led a team of internal and external professionals to address the full spectrum of corporate compliance and legal matters and projects. This included general banking operational questions, trusts/fiduciary accounts, HR advisement on employee relations, employee investigations, strategy, mergers, acquisitions, portfolio purchases, contract reviews, subsidiaries, fraud mitigation, data breaches, and regulatory issues. While at Bethpage Tan advised senior management, the Board and staff, and also served as Chair of the organization’s Compliance Oversight Committee which managed the compliance infrastructure at Bethpage’s correspondent services operations centers in Maryland and Colorado.

Before Joining Bethpage, Tan held positions at Commerce Bank (now TD Bank), the Office of the Attorney General of New York, and the NYC Law Department. His credentials included certifications by the Credit Union National Association as a CUCE compliance expert, as well as by the prestigious Association of Certified AntiMoney Laundering Specialists as CAMs certified. Recently, Tan earned the coveted Certified Regulatory Compliance Manager (CRCM) designation from the Institute of Certified Bankers/American Bankers Association.

Thomas Armstrong, VP, Head of Financial Intelligence Unit, Goldman Sachs

Thomas currently serves as the Head of Goldman Sachs’ Financial Intelligence Unit.  The FIU is part of the Firm’s Global Forensics Program, which is charged to ensure that the Firm’s Financial Crime Compliance program is proactive in risk mitigation, continuously evolving, and handles ad hoc and complex investigations stemming from a variety of investigative leads. He has been with Goldman Sachs since 2012, and was formerly co-managing the Transaction Surveillance Group. Thomas has also worked overseas on a variety of legal and educational matters in Germany, France and Taiwan. He received his J.D. from The University of Tulsa College of Law where he wrote a thesis evaluating Italy and Colombia’s anti-money laundering regimes within the purview of drug trafficking. He received his B.S. from the University of Southern Indiana, recently completed policy coursework at Sciences Po in Paris, France and is a Certified Anti-Money Laundering Specialist (CAMS).

Candler Eve
Candler Eve, Director, Enterprise Fraud, First Financial Bank

Candler Eve will be presenting at Fraud and Financial Crime USA

IMG_3148 (1357x1700)
Edward L. Glenn, Former SVP, US Head of Financial Crimes Risk – Audit, Exam & Issues Management, HSBC

For fourteen years, Edward “Ned” Glenn has worked to build and strengthen Financial Crime compliance programs, with a primary focus on ethics and anti-bribery compliance.  Ned started his career in the Government & Regulatory Compliance group of Merrill Lynch’s Office of General Counsel.  At Merrill, Ned focused on government ethics and conflicts issues, building out the firm’s lobbyist compliance program and then its FCPA program which covered all facets of FCPA compliance from third party risk, gifts and entertainment, to mergers and acquisitions due diligence.  In 2009, Ned joined Bank of America’s legal department supporting its conflicts & anti-bribery compliance teams.  In addition to work at Goldman Sachs, Ned spent four years at RBS establishing the Political Law Compliance program and strengthening its Anti-Bribery & Corruption program.  Most recently, Ned served for two years at HSBC as U.S. Head of Financial Crime Compliance Audit, Exam & Issues Management focusing on the lifecycle of Financial Crime testing and remediation.  During his career, Ned has been a member of various Anti-Bribery and Political Law Compliance industry forums, trade association committees, and is a member of the ABA International Law Section’s International Anti-Corruption Committee.

Kenneth Jones
Kenneth Jones, Head of Fraud Risk Management and Financial Intelligence Unit, UBS tbc

Kenneth Jones will be presenting at Fraud and Financial Crime USA

Lester Joseph picture 2014 (2)
Lester Joseph, Head, Global Financial Crimes Intelligence Group, Wells Fargo & Company

Lester Joseph is a Senior Vice-President at Wells Fargo & Company, and is the Manager of the Global Financial Crimes Intelligence Group. The primary mission of this Group is to provide intelligence on money laundering activity and financial crime trends to all parts of the company. Les joined Wells Fargo as the International Investigations Manager in the Financial Intelligence Unit in March 2010.

Prior to joining Wells Fargo, Les worked for the U.S. Department of Justice from 1984 to February 2010. From 2002-2010, he was the Principal Deputy Chief of the Asset Forfeiture and Money Laundering Section (AFMLS). He was a Deputy Chief in the Section since October 1991. During his tenure in AFMLS, the Section played a major role in several noteworthy money laundering investigations and prosecutions involving major financial institutions.

Les began his career with the Department of Justice in 1984 as a Trial Attorney in the Organized Crime and Racketeering Section. From 1981-1984, Les served as an Assistant State’s Attorney in Cook County (Chicago), Illinois. He received his J.D. from The John Marshall Law School in Chicago and his B.A. from the University of Michigan.

Milan R. Kosanovich, Supervisory Special Agent, Federal Bureau of Investigation

Milan R. Kosanovich will be presenting at Fraud and Financial Crime USA

Brian Mannion Pic
Brian Mannion, Managing Counsel, Nationwide

Brian Mannion has been with Nationwide since 1999 and practices in the areas of privacy, information technology, Foreign Corrupt Practices Act (FCPA), Office of Foreign Assets Control (OFAC) and anti-money laundering. Since 2001, he has been the primary lawyer responsible for Nationwide’s anti-money laundering, counter-terrorist financing, and OFAC efforts for its broker/dealers, bank, mutual funds, mortgage company, and life insurance companies. Additionally, he leads a team of lawyers and compliance professionals to assist with the development and implementation of Nationwide’s new technologies such as Bring Your Own Device (BYOD), Microsoft Exchange in the cloud migration, cloud and social networking tools. Finally, Brian leads the privacy data event team.

Terry Mulder, Fraud Risk Director, Ally Financial

Terry Mulder will be presenting at Fraud and Financial Crime USA

Joshua Oliver
Joshua Oliver, Chief Compliance Officer, Metropolitan Commercial Bank

Mr. Oliver is a Bank Regulatory and Anti-Money Laundering professional with in-depth knowledge of related regulations and best practices impacting financial institutions.  His experience includes working with domestic and worldwide financial institutions as well as their related regulatory authorities.

Mr. Oliver is currently the Chief Compliance Officer at Metropolitan Commercial Bank in New York.  In this role, he has developed and enhanced an AML/BSA framework to safeguard the bank in an environment where risks and payment methods are constantly evolving.  He manages a diverse team of compliance professionals responsible for establishing standards and policies pertaining to regulatory requirements.  Prior to joining Metropolitan Commercial Bank, Mr. Oliver was the America’s Head of AML for Natixis Bank, and worked on developing Financial Crime and Compliance Testing Programs for Standard Chartered Bank, Societe Generale, and ABN AMRO.  Mr. Oliver began his career as a regulator with the New York State Department of Financial Services, where he planned and conducted examinations on the various New York State licensed financial institutions.  Mr. Oliver also served on the Basel II Interagency Group for Operational Risk.

Sean O'Malley
Sean O’Malley, Head of AML and Sanctions Risk Assessment, State Street

Sean O’Malley will be presenting at Fraud and Financial Crime USA

Carlos
Carlos Orel, Head of AML Risk and Monitoring, TD Bank

I am full-time husband of 31 years and proud dad to a wonderful 23 year old girl. In my spare time…
I accumulated work experience that reflects 30 years of compliance and risk management in Bank Secrecy Act/Anti-Money Laundering, business continuity, emergency response, operational control, information security, and consumer lending operations.

In August 2011, I joined the Office of the Co-Head of Global AML and BSA Officer at TD Bank. I currently serve as the SVP, Head of AML Risk and Monitoring in TD Bank US Holding Company. My responsibilities include the offices of the US AML Policy, Products and Services, Risk Assessment, Risk Officer, Testing of AML processes and analytical evaluation of the transaction monitoring solution. In addition, I also have the privilege of being the Co-Chair for TD Latinos in Leadership Metro Carolinas chapter. I have the honor to continue serving as a mentor in the Cox Executive Education program and the National Hispanic Corporate Council since 2015.

Prior to TD Bank, I supported several areas at Bank of America from January 2009 to August 2011 including, managing a program to strengthen AML controls across the footprint. Led the Money Services Business Control Center in the Global AML Office, provided subject matter expertise to the AML risk in Latin America and led the project to identify and manage the AML risk of wholesale banknotes.

Between May 2002 and December 2008, I held several offices at Wachovia including Compliance Manager for the Corporate AML Office, having oversight for enterprise-wide compliance focusing on AML regulatory issues and the administration of the Risk Control Program. Created, implemented and managed the Business Continuity program for Wachovia Insurance Services and was a member of Wachovia’s Business Continuity Planning Advisory Counsel establishing best practices. I had oversight of the Executive Emergency Management Plan for Global Bank Operations.

Prior to my tenure with Wachovia, I held different risk management posts at Wells Fargo and Citi. I also served as the Steering Committee Chair at the Financial Recovery Coalition of North Carolina between 2006 and 2011. The Coalition, works with the U.S. Department of the Treasury and State and local emergency offices– to support the availability of financial services to the citizens of North Carolina during natural or man-made disasters.
Outside of work, I ride horses with my daughter and get to see the world from a unique point of view. I also like to try something new, as of late, the family is starting to build hotrods, especially cars from the 1930s.

Shawn Polonet
Shawn Polonet, Assistant Special Agent in Charge, U.S. Department of Homeland Security, Homeland Security Investigations

Mr. Polonet is an Assistant Special Agent in Charge with the Department of Homeland Security, Homeland Security Investigations (HSI) New York field office. He is responsible for supervising the Public Safety Division of HSI New York, comprised of several investigative programs, including a fraudulent government benefit and document task force and a violent gang enforcement task force. Mr. Polonet previously served as an acting Assistant Special Agent in Charge of the El Dorado Financial Crimes Task Force, which included the High Intensity Financial Crimes Area (HIFCA), the asset forfeiture unit, and the financial fraud and DEA-led narco-money laundering groups. From 2007 to 2015, Mr. Polonet was the supervisor of HSI New York’s asset forfeiture program, responsible for overseeing numerous financial crime investigations which resulted in the seizure and forfeiture of over 100 million dollars. From 2002 to 2006, Mr. Polonet was a National Program Manager for HSI in Washington, DC serving in several different programs, including Operation Green Quest – a U.S. Customs-led terrorist financing task force created following the events of September 11, 2001, the Cornerstone program, which is a financial crimes training and outreach initiative, and the HSI Cyber Crimes Center. Mr. Polonet began his federal law enforcement career as a Special Agent with the U.S. Customs Service in 1998. He has over 28 years combined experience in federal, state and local law enforcement, and holds a Bachelor of Arts degree in International Relations from Connecticut College.

Mandy Ramlow
Mandy Ramlow, Director VP, U.S. AML Financial Intelligence Unit, BMO Harris Bank N.A.

Mandy Ramlow will be presenting at Fraud and Financial Crime USA

JOHN_RANDLES_SIREN[1]
John RandlesCEO, Siren.

John Randles is CEO of Siren,  heading the team that provides the leading Investigative Intelligence platform to some of the world’s largest and most complex organizations.

John spent 5 years before Siren as the CEO of the Bloomberg’s Data Management Utility serving quality data to the capital markets community. Bloomberg built their Data Management Utility around PolarLake, which was acquired by Bloomberg in 2012. John was CEO of PolarLake for 6 years before the acquisition, a Data Management technology provider.

Earlier in his career John was CTO of Banking at Siebel Systems and was CTO of Eontec, a Retail Banking software provider.

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Rebecca “Becky” Schauer Robertson, EVP, Director of AML Compliance, South State Bank

Rebecca “Becky” Schauer Robertson is Executive Vice President Director of AML Compliance for South State Bank, a subsidiary of South State Corporation, the largest publicly traded bank holding company in South Carolina with locations across the Carolinas, Georgia, and Virginia. Robertson is responsible for ensuring the Bank’s compliance with all facets of the Bank Secrecy Act, USA PATRIOT Act, and Office of Foreign Assets Control. Additionally, Robertson has oversight of the Bank’s Fraud department. She holds the advanced designation of Certified Anti-Money Laundering Specialist – Audit (CAMS-Audit), and designations of Certified AML and Fraud Professional (CAFP), and Certified Fraud Examiner (CFE).  Robertson currently serves on the ABA CAFP Advisory Board.

Head shot - Anders Rodenberg
Anders A. L. Rodenberg, Head of Financial Institutions and Advisory, Americas, Bureau van Dijk, A Moody’s Analytics company

Anders Rodenberg is the Head of Bureau van Dijk’s FI & Advisory operation in the Americas, but also a subject matter expert within Compliance. He has led multiple compliance projects, specializing in AML, OFAC Sanctions, FATCA and FCPA with the aim of improving compliance levels at various financial institutions, insurance companies and traditional companies. Recently, his primary focus has been on improving on-boarding procedures, sanctions 50%-rule identification, and monitoring through automation and standardization of data processes.

During his tenure with Bureau van Dijk, Anders has held several positions in Europe and now in the US where he has built key relationships with regulatory authorities and industry leaders in numerous countries, speaking at various conferences on current trends and developments as it relates to compliance regulations.

Corey
Corey A. Reason, Group Head of Financial Crime Compliance, Clarien Bank Limited

Corey serves as Clarien’s SVP – Group Head of Financial Crime Compliance. With responsibilities for the overall financial crime risk management including AML, Anti-Terror Financing, Sanctions and Anti-Bribery and Corruption. Corey has more than 12 years’ experience in global financial crime compliance. Prior to joining Clarien, he worked as VP and Director for the HSBC Group working in NYC. At HSBC, Corey spent seven years in various leadership roles across the Financial Crime Compliance function. During his time at HSBC he served as an International Financial Crime Executive, working in nine countries across five continents; with the goal of bolstering the local teams with financial crime knowledge and program execution expertise. Corey has also served as a liaison from the banking industry to NGOs and government on financial crime issues, working with the UN, World Bank, International Monetary Fund and other global banks to understand new and emerging risks to the global financial system. Previously, Corey worked in various financial crime roles at several banks ranging from small community banks to super-regional banks across the US.

Michael Schidlow
Michael Schidlow, Head of Financial Crime Risk Training and Emerging Risk Advisory, Global Internal Audit, HSBC

Michael Schidlow will be presenting at Fraud and Financial Crime USA

Sandeep Sharma
Sandeep Sharma, CAMLO, KEB Hana Bank Canada 

Sandeep Sharma will be presenting at Fraud and Financial Crime USA

Bryan Smith
Bryan P. Smith, Assistant Special Agent in Charge, Federal Bureau of Investigation

Bryan has been employed by the Federal Bureau of Investigation (FBI) since 2002 and currently serves as the Assistant Special Agent in Charge over the Cleveland Field Office’s Cyber Criminal, Healthcare Fraud, Organized Crime, Public Corruption, Technical, and White Collar Crime programs.  Previously, he was the Unit Chief of the FBI’s Financial Institution Fraud Unit, responsible for oversight of the FBI’s national Asset Forfeiture, Bank Fraud, Identity Theft, Money Laundering, and Mortgage Fraud programs.  He supervised a cyber squad focused on criminal and national security threats and initiated a Cyber Financial team while part of the FBI’s Cyber Division.  He served as the FBI’s Detailee to the U.S. Securities and Exchange Commission (SEC) in 2011-2013 where he assisted both agencies in insider trading, market manipulation, and investment fraud matters.  Prior to the FBI, Bryan worked as a consultant for Accenture and Deloitte and Touche.

Dalit Stern
Dalit Stern, Director of Enterprise Fraud Risk Management, TIAA Financial Services

DALIT STERN is a Director of Enterprise Risk Management of Fraud at TIAA Financial Services where she is responsible for the build-out of the enterprise risk mitigation and the detection of fraud. She leads assessments of fraud risks; defining fraud metrics and KRIs; developing root-cause analysis procedures, risk appetite statements and conducting ongoing review of the effectiveness of counter-fraud controls.
Dalit has over 20 years of experience in mitigating fraud risks; conducting internal investigations into allegations of accounting irregularities, fraud, corruption and conflict of interest and assisting organizations respond to regulatory proceedings.

Dalit is a CPA (Isr.); M.B.A and a Certified Fraud Examiner. She is an adjunct professor at New York’s Baruch College where she teaches courses focused on forensic investigations, corruption and procurement fraud. She is a former partner at PwC, Forensic Services group.

James stubbs
James (Jim) Stubbs, Former Managing Director, Deputy Global Head Anti-Money Laundering, Citi

Jim led the Citi Global AML Compliance Risk Management group, responsible for proactively identifying, evaluating, mitigating and reporting AML and reputational risks across the enterprise.  Responsibilities included product, enterprise-wide and horizontal business activity risk assessments; and set program standards as applicable to the various Citi and advises as necessary on their application. The group was also a primary interface with the business to design and execute risk management solutions consistent with Citi’s AML compliance risk appetite.  The role was a primary source of credible challenge within the AML Compliance Organization.  Regular interaction with regulatory authorities is a critical component of the position. Prior to joining Citi, Jim was the Chief Compliance and Ethics Officer for American Express Bank Ltd. And practice leader for BDO Consulting.  He has extensive AML risk management experience in new payment methods, institutional and ritual banking, cards and merchant servicing.

Jake van der Laan, Director, Information Technology and Regulatory Informatics and Director Enforcement, Financial and Consumer Services Commission

Jake van der Laan is the Director, Information Technology and Regulatory Informatics and Director Enforcement with the New Brunswick Financial and Consumer Services Commission in Canada. Prior to joining the Commission Mr. van der Laan was a trial lawyer. Mr. van der Laan is the Chair of the North American Securities Administrators Association (NASAA)’s Enforcement Technology Project Group. He has also served the Canadian Securities Administrators (CSA) in various capacities over the years, including as Chair of the CSA Standing Committee on Enforcement, Vice-Chair of the Binary Options Task Force and Vice-Chair of the Investment Fraud Task Force. He is the author of “A Guide to Internet Investigations”, a regularly updated e-book for regulatory investigators. Mr. van der Laan is a regular resource and speaker on internet mediated fraud, digital investigations, and cybersecurity issues at numerous events throughout North America. In 2013 and again in 2018 he was presented with NASAA’s Distinguished Service Award for his work in improving securities regulators’ ability to fight securities fraud as well as cryptocurrency based schemes. Mr. van der Laan has degrees in Business Administration, Law and Computer Science, and has been a member of the New Brunswick bar since 1992.

ARTICLES

Find our Fraud and Financial Crime thought-leadership articles here. These articles feed from our much larger Risk Insights section of our website which provides you with thought-leadership, white papers, articles and more across fraud and financial crime.

11th December 2018

Center for Financial Professionals announces new FinTech Research and Advisory Board

Senior practitioners across the financial services industry join FinTech Advisory Board for the Global FinTech 250 Report set to be released at the X-Tech 2019 Convention […]
7th December 2018

Addressing key regulatory hurdles around EU directives, sanctions and challenges within intelligence sharing

By Guglielmo Migliori, Senior Research Executive, CeFPro
4th December 2018

Procedures and controls to comply with bribery and tax evasion legislation

John Clarke, Money Laundering Reporting Officer and Head of Financial Crime Compliance, Standard Advisory London Ltd
26th November 2018

How trans-national money laundering affects the US financial industry

by Shawn Polonet, Assistant Special Agent in Charge, U.S. Department of Homeland Security, Homeland Security Investigations, New York
20th November 2018

Beneficial ownership: Increasing transparency and ensuring compliance

by Rebecca “Becky” Schauer Robertson, EVP, Director of AML Compliance, South State Bank
20th November 2018

Balancing global regulatory requirements for fraud and AML to align practices globally

by James (Jim) Stubbs, Former Managing Director, Deputy Global Head Anti-Money Laundering, Citi
13th November 2018

Implementation of beneficial ownership to increase transparency and ensure compliance

by Sean O’Malley, Head of AML and Sanctions Risk Assessment, State Street
13th November 2018

The cryptocurrency eco system – a new frontier in consumer protection

by Jake van der Laan, Director, Information Technology and Regulatory Informatics and Director Enforcement, Financial and Consumer Services Commission
31st October 2018

Core concepts supporting the risk-based approach

By James H Wistman, Head of Branch Risk & Compliance/MRLO, Santander, Abbey National Treasury Services, US Branch and Sabeena Liconte, Chief Legal Officer & Chief Compliance Officer, Bank of China […]
10th October 2018
Guglielmo Migliori article banner

Fraud and financial crime regulatory updates

By Guglielmo Migliori, Senior Research Executive, CeFPro. 
26th July 2018

AI and machine learning – General definitions and Fraud / AML applications

By Eric Wagner, Head of Group Financial Crime, Erste Group AG 
4th June 2018

Interview with Detective Inspector, National Fraud Intelligence Bureau

1st May 2018

Why are banks facing a financial crime skills shortage?

An interview with Anthony Ginn, Head of Risk, Regulatory and Compliance at MThree Consulting.
24th January 2018

Ensuring effective and up to date controls are in place for monitoring and mitigating internal fraud risk

By Richard Huebler, Deputy Head of Financial Crime Management, Raiffeisen Bank.
16th January 2018

Understanding the interactions between cyber-crime and fraud prevention

By Brian Dilley, Group Director, Fraud and Financial Crime Prevention, Lloyds Banking Group.

FREE RISK WEBINAR

Fraud and financial crime – An insight into Blockchain

Taking place on January 16 2019, 11:00am (ET)

Key topics addressed include:

Technical fundamentals of blockchain
A deeper understanding
Distinction between open and closed blockchains
Cryptocurrency

Applications for Blockchain and its related risks
Vulnerabilities related to blockchain products
Potential compliance use cases

Operational aspects of Blockchain
Activities where blockchain might be used
Impact of blockchain on everyday activities – fraud detection, transaction monitoring, sanctions screening, risk assessments
How does blockchain impact an institutions risk profile

Can’t make the live webinar? No problem, still register as all registrants will receive a full recording of the webinar.

INCLUDING INSIGHTS FROM:

James stubbs

James (Jim) Stubbs
Former Managing Director, Deputy Global Head Anti-Money Laundering
Citi

Sean O'Malley

Sean O’Malley
Head of AML and Sanctions Risk Assessment
State Street

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Jake van der Laan
Director, Information Technology and Regulatory Informatics and Director Enforcement
Financial and Consumer Services Commission

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CECL - MEET OUR SPONSORS

2019 Co-Sponsors:

Bureau van Dijk


Certainty is a highly prized commodity in business. Data might be getting bigger all the time, but this only makes extracting value from it more difficult. Bureau van Dijk captures and treats private company information for better decision making and increased efficiency.

With information on nearly 300 million companies, we are the resource for company data. A key benefit of our information is how simple we make it to compare companies internationally.

Our information includes:
– What companies do, how they’re performing and the people that run them
– Financial data, legal entity details, M&A activity and news
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You can access our information via a range of interfaces that are designed to help different business challenges and streamline workflows. Many of our customers blend our information with their own internal data for superior insight.

Siren


Siren provides the leading Investigative Intelligence platform to some of the world’s largest and most complex organizations to derive business value adding insights from their data.

Made by team of enormously passionate data discovery and advanced search experts, scientists and engineers; the Siren Platform provides a unique combination of search, business intelligence, big data, link analysis and knowledge representation which advances the way organizations address some of the world’s most important data driven problems.
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TIBCO Software


TIBCO fuels digital business by enabling better decisions and faster, smarter actions through the TIBCO Connected Intelligence Cloud. From APIs and systems to devices and people, we interconnect everything, capture data in real time wherever it is, and augment the intelligence of your business through analytical insights. Learn how TIBCO makes digital smarter at www.tibco.com.

Sponsorship & Exhibition

Advance your branding, awareness, industry expertise, thought-leadership and lead-generation at our upcoming Fraud and Financial Crime Congress.

Sponsorship and exhibition with The Center for Financial Professionals offers unique networking, brand recognition and thought-leadership deliverance opportunities with senior risk professionals from around the world. Whether you want full branding across the event or simply a well-positioned exhibition stand, our business development team will tailor the right package for you. We do everything we can to help you get your marketing message across and also to benchmark the return on your investment.

2019 Media Partner:

FinTech Futures


FinTech Futures is a digital publishing platform for the worldwide fintech community.
Built on the renowned Banking Technology brand, FF provides daily news, analysis and expert commentary across a comprehensive range of areas:

– FinTech
– BankingTech
– PayTech
– RegTech
– WealthTech
– LendTech
– InsurTech

Our broad readership and solid reputation, combined with in-depth coverage across fintech on a worldwide scale, makes us the leading resource for technology buyers, sellers, developers, integrators and other specialists across the sector.

FF brand incorporates:

– Monthly Banking Technology magazine in print and digital
– Banking Technology Awards, an annual event recognising excellence and innovation in the use of IT in financial services, and the people who make it happen
– Paybefore, a global paytech publication
– PayTech Awards, an event celebrating the best of the best in paytech industry

SmartMoneyMatch

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SmartMoneyMatch connects the global investment community.
https://www.SmartMoneyMatch.com/investments enables you to browse and list investment products, create a request for proposal, connect with and message other users, search and announce relevant events, find jobs, post vacancies or write articles.
Moreover, all users have their profile page where your activities – as an investor, asset manager or service provider – can be described.

Free registration now on https://www.SmartMoneyMatch.com/register.

Interested in being a Media Partner?

We are happy to support publications, associations and organisations at this event. From a simple company listing with your logo to taking advantage of some of our sponsor benefits listed above. To discuss a media partnership further please email noshin@cefpro.com or call +1 888 677 7007

Fraud and Financial Crime USA

March 27 – 28 | New York City

Why should you attend a CeFPro conference?

  • You’ll gain valuable insights and learnings from industry experts
    Hear current insights from leading industry experts from panel discussions, presentations, Q&A opportunities, case studies plus more…
  • Benchmarking: keep up-to-date with the latest challenges / changes within the industry
    Stay in the know and stay successful – you won’t fall behind on groundbreaking industry news
  • Multiple networking opportunities
    Refreshments breaks, Q&A with presenters, drinks reception and more
  • Excellent registration rates
    Register early for preferential rates
  • Earn CPD points

Hear from past attendees and speakers…

“It offers a chance to see and hear current trends and obstacles first hand from leading experts and to discuss solutions early enough to be implemented easily”
Head of Section, Prudential Policy and Accounting
European Central Bank
“For me one of the greatest benefits is hearing from leading practitioners at other firms about the initiatives and innovations they are introducing into their model risk management practices…I also find the session breaks and luncheons to be opportune times to meet professional colleagues working in my field and share views..”

former Managing Director, Global Head of Model Risk Governance
Credit Suisse
“It’s always good to share views with fellow managers and experts and in my case as the representative of relatively small institution it’s especially important to have the chance to get familiar with solutions adopted by major banking groups.”
Director of Credit Portfolio Management
Bank Pocztowy
“The main benefit of Center for Financial Professionals’ congresses is networking. Here you meet old friends and make new ones who have experiences and insights that they are willing to share. This sharing helps delegates improve their job performance through new skills or better practices. This synergy from multiple experts’ sharing ideas is difficult to replicate”
Director of Enterprise-Wide Risk
BOK Financial

Venue

Crowne Plaza – Times Square
1605 Broadway
New York
NY 10019
USA

We have secured a $259++ accommodation rate for you to stay at the hotel.
To book please visit: https://book.passkey.com/go/TG5

Please note there is limited availability and we suggest you book your accommodation as soon as possible, this is also based on a first come first served basis with the rates and any remaining rooms expiring on March 05, 2019.

Earn up to 15 CPE credits

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Can I present at the Fraud and Financial Crime USA 2018 Congress?

Yes, the Center for Financial Professionals are happy to discuss speaking opportunities at Fraud and Financial Crime USA. For further information on this please contact alice.kelly@cefpro.com or call us on +1 888 677 7007.

Are there any rules on the dress code?

Business attire is requested. The Congress is a formal opportunity to network with like-minded professionals and to gain knowledge from the industry’s finest risk management experts.

What is the cost and what is included in the registration fee?

We offer incentives for ‘early bird’ registrants of the Congress, as outlined on our pricing structure.

Registration includes breakfast, refreshment breaks, lunches, the cocktail reception at the end of the day, full access to the Congress sessions and exhibition area. Presentations from sessions are also available, subject to speaker approval.

Where can I find the Congress documentation and speaker presentations?

All registered attendees will receive an email with access to documentation and speaker presentations after the Congress*

We will work with our presenters to include as many presentations as possible on our Risk Insights App during the Congress.

*Please note that our speakers often have to gain permission from their relevant compliance departments to release their presentations. On rare occasions compliance may not allow presentations to be distributed.

Will breakfast, lunch and refreshment be provided?

Yes. As with all of our events the Center for Financial Professionals will be providing brilliant coffee, breakfast, lunch, refreshments, and smaller bites during the networking breaks.

This will be provided on both days of the Congress.

Will there be opportunities to network with other attendees?

There are ample opportunities for networking and interaction throughout the Congress, such as

  • Breakfast, lunch and refreshment breaks
  • Cocktail reception at the end of the day (Subject to confirmation)
  • Q&A, panel discussions and audience participation technology available through the Risk Insights App
I have several colleagues that would like to attend, is there a group discount?

Certainly! We are pleased to offer you a 50% discount on the third registration or provide a fifth registration for free.

If you would like to register more than five colleagues please contact us on +44 (0) 20 7164 6582

Please note:

  • Registrations must be made at the same time
  • Registrations must come from the organisation
  • The lowest registration will be discounted
Are there opportunities to share my thought-leadership at Fraud and Financial Crime USA?

Yes there are plenty of opportunities for the Center for Financial Professionals to share thought-leadership to the attendees of Fraud and Financial Crime USA and our wider risk professionals community.

At the event
We can distribute your material to the attendees, offer you an exhibition booth, and provide speaking opportunities so that you may enjoy a more prominent presence at the Congress. Visit the Sponsor tab for further information or contact sales@cefpro.com / +1 888 677 7007.

Risk Insights
Feature your content on our Risk Insights website and supporting Risk Insights monthly newsletter. For further information please download our media pack here.

Are media partnerships available for Fraud and Financial Crime USA?

Yes. As part of a media partnership we can offer a variety of options to increase the branding and awareness of your association, company, certificate, publication or media. We are flexible with what we can offer however we usually:

  • Provide a discounted rate to attend
  • Place your logo and profile on the Congress website
  • Place your logo on the Congress brochure
  • Place your logo on promotional content where applicable
  • Distribute your media/marketing at the Congress
  • Promote through social media channels

To discuss this further please contact noshin@cefpro.com or call +1 888 677 7007

Super Early Bird Rate:
$1,099
(Save $700)

Register by
December 19

New Year Special Rate: $1,199
(Save $600)

Register by
February 1

Early Bird Rate:
$1,399
(Save $400)

Register by
March 8

Standard Rate:
$1,799

Registrations after
March 8

Group rates: Available for 3 or more attendees from the same organization, when registering at the same time. The current rate allows every third colleague to come along for half price or a fifth colleague to attend for FREE.

Other ways to register:

1. Save time and register by email

Simply email us with your e-signature – and we will do the rest for you!

2. Contact us directly

3. Download the PDF registration form

CPE
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2019 Co-Sponsors:

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