Fraud and Financial Crime USA

Reviewing the evolution of the financial crime landscape and revolutionary mitigation tactics

2ND ANNUAL FRAUD AND FINANCIAL CRIME USA

March 25-26, 2020 | New York City

INTELLIGENCE SHARING
Leveraging global intelligence concepts to share information across the industry for mitigation

ALTERNATIVE AND THIRD-PARTY PAYMENTS
Reviewing emerging methods and minimizing vulnerabilities to fraudulent activity

SANCTIONS
Reviewing the global landscape to keep up with changes and ensure compliance

AI AND MACHINE LEARNING
Integration into financial crime programs and leveraging potential efficiencies

BENEFICIAL OWNERSHIP
Tracking flow of funds and understanding how to identify fraudulent activity

HUMAN TRAFFICKING
Monitoring and capturing behavior to identify activity and remove financing opportunities

CRYPTOCURRENCY
Monitoring exchanges and clearing clients to understand flow of funds for AML detection

BANKING CANNABIS
Banking in a fragmented legal system and operationalizing within business units

CYBER RISK
Aligning fraud and cyber teams to increase cyber resiliency and minimize risk

Douglas Bloom

Douglas Bloom
Executive Director, Head of Cybersecurity and North American Privacy and Data Protection Law
Morgan Stanley

Bob Kadel

Bob Kadel
Global Co-Head of Transaction Surveillance
Goldman Sachs

Kosanovich

Jim Barnacle
Chief, Money Laundering Unit
Federal Bureau of Investigation

Maura copy

Maura Liconte
Director, Deputy Regional Head of Financial Crime Operations
Deutsche Bank

Lester Joseph

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

Sabeena Liconte

Sabeena Liconte
Head of Legal & CCO
Bank of China International

Tim Lutz

Tim Lutz
Director, Financial Intelligence Unit
U.S. Bank

Stephen Shine

Stephen J. Shine
Chief Regulatory Counsel
Prudential Financial

Dalit Stern

Dalit Stern
Senior Director, Enterprise Fraud Risk Management
TIAA

James Short

James Short
Global Head of AML/ATF for Global Banking
Scotiabank

CAN YOUR ORGANIZATION CONTRIBUTE?

Please contact the Center for Financial Professionals today to discuss how we can deliver your thought-leadership at the event, help you generate leads, and provide you with unique networking and branding opportunities. For more information on what we can offer, please contact sales@cefpro.com or call us on +1 888 677 7007 where a member of the team will be happy to tailor the right package for you.

8:00 Registration and breakfast

8:50 Chair’s opening remarks

INTELLIGENCE SHARING – PANEL DISCUSSION
9:00 Leveraging global intelligence concepts to share information across the industry for mitigation of financial crime

  • UK joint money laundering intelligence
  • Sharing names and information across institutions
  • Public private partnerships
  • Criminals exploiting inability for banks to share information
  • Mechanisms to share data
  • Sharing information across companies in a permissible way

Lester Joseph, Head, Global Financial Crimes Intelligence Group, Wells Fargo & Company
Bob Kadel, Global Co-Head of Transaction Surveillance, Goldman Sachs
Corey A. Reason, Head of Compliance, Clarien Bank Limited

AI AND MACHINE LEARNING
9:50 Integration of automation, AI and machine learning into financial crime programs and leveraging potential efficiencies

  • Automated transaction monitoring pillars
  • Applications in diligence
  • Using AI within intelligence units
  • Maintaining oversight of AI, ML and automation
  • Understanding black box facilitating outputs
  • Embedding into processes and cost of maintaining
  • Expectations and oversight from regulators
  • Expectations for model governance
  • Using as a tool for effective KYC

Tim Lutz, Director, Financial Intelligence Unit, U.S. Bank

10:30 Morning refreshment break and networking

TRANSACTION MONITORING
11:00 Transaction monitoring for suspicious activity and reducing false positives using technology advances

  • Screening transactions for suspicious activity
  • Creating intelligent software and systems to create alerts
  • Using transaction monitoring for KYC
  • Limiting manual monitoring by setting alerts
    • Manual screening of alerts
  • Managing high false positives and reductions in headcount
  • Creating intuitive systems to ensure efficiency of functions
    • Better systems, alerts, models and methodologies
  • Feeding machines with information on what is considered suspicious activity

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

METRICS
11:40 Evolution of metrics for assessing effectiveness in financial crime programs

  • Indications for senior management on how programs are operating
    • Increased frequency taskforce
  • Performing monitoring without increasing headcount
  • Developing a program dashboard with KPIs of critical elements
  • Producing metrics around program areas
    • Monitoring execution and risk
  • What metrics are good to report to the board

Maura Liconte, Director, Deputy Regional Head of Financial Crime Operations, Deutsche Bank
Sagar Shah, VP,  Head of Financial Crime Operations – Control Effectiveness, Deutsche Bank

12:20 1 simple way to see the full picture of fraud

Barry Bowen, Global Head of Sales, fcase

12:30 Lunch break and networking

CRYPTOCURRENCY – PANEL DISCUSSION
1:30 Monitoring cryptocurrencies and exchanges/clearing clients to understand flow of funds for AML detection

  • Identifying ultimate beneficiary for fraud an AML monitoring
  • AML detection in a closed ecosystem with money coming back clean
  • Will crypto compete with fiat currency?
    • Sustainability of currency without backing and tangible assets
  • Future policy from regulators for cryptocurrency
  • Governance structures to manage risk: Setting risk appetite and putting controls in place to monitor
  • KYC of exchanges: limiting investment without proof of funds origination
  • Forensic analysis tools on public Blockchain
  • Crypto ATMs limit not reaching threshold for fraud detection
  • Correlation and relationship with crypto currencies and criminal activity

Sabeena Liconte, Head of Legal & CCO, Bank of China International
Jim Barnacle, Chief, Money Laundering Unit, Federal Bureau of Investigation
Kyler Hardin,
 Special Agent, Homeland Security Investigations

BENEFICIAL OWNERSHIP
2:20 Tracking flow of funds and understanding beneficial ownership to identify fraudulent activity

  • Due diligence at state level to understand beneficial owners
  • OFAC 50% rule
  • Corporate transparency act: building a central repository to verify information
    • Determining transparency of businesses and identifying shell companies
  • Responsibility on institutions to verify identity
  • Compliance of financial institutions
  • Increasing transparency
  • Customer impact of compliance

Victor Lessoff, MD, Head of Internal Investigations, TIAA

3:10 Afternoon refreshment break and networking

SANCTIONS
3:40 OFAC Perspective

  • Introduction to OFAC and overview of sanctions
  • Recent OFAC enforcement actions
  • Overview of Compliance Commitments
  • Risk-based compliance
  • OFAC’s interaction with regulators

Alexa Molleur, Compliance Officer, U.S. Department of the Treasury, Office of Foreign Assets Control

4:10 Financial Institution Perspective

  • Achieving OFAC policy goals from a private sector perspective
  • Sanctions compliance for U.S. v. non-U.S. financial institutions
  • Practices and activities outlined in enforcement actions
  • Risk-based approach to addressing sanctions requirements
  • Implementation issues with sanctions compliance
  • Understanding the risk of doing business with certain customer types
  • Screening system tuning and optimization

Andrew Jensen, Global Head of Sanctions, Scotiabank

ANTI-BRIBERY AND CORRUPTION
4:40 New techniques for developing sound compliance practices for anti-bribery and corruption laws across jurisdictions

  • Defining associated persons
  • Sponsorship and marketing
    • Vetting sponsorship organisation and people
  • Hiring practices
    • Ongoing monitoring of changes in vulnerability to anti bribery and corruption
  • Building a good compliance program in house to address the risk
  • Reputation risk
  • Aligning with other regulations such as conduct

Sabeena Liconte, Head of Legal & CCO, Bank of China International

5:20 Chair’s closing remarks

5:30 End of day one and drinks reception

8:15 Registration and breakfast

8:50 Chair’s closing remarks

CYBER RISK – PANEL DISCUSSION
9:00 Aligning fraud and cyber teams to increase cyber resiliency and minimize risk

  • Protecting customer information
  • Vulnerabilities in technology internally
  • Identifying data breaches
    • Restoring data and notifying customers
  • Managing third party relationships
    • Looking across supply chain
  • When to file a SAR for cyber attacks
  • Identifying vulnerable employees with access to data
  • Monitoring and reviewing dark net boards

Nicole De Bello, Anti-Money Laundering Counsel, Executive Director, Morgan Stanley
Rob Byars, Vice President, Information & Cyber Security, Wells Fargo
Ken Jones, Senior Managing Director, FTI Consulting

PHISHING
9:50 Protecting customers from cyber initiated but human enabled fraud

  • Cyber monitoring to track access online
  • Protecting vulnerable customers
  • Addressing on a federal level to align across states
  • Manipulating customer accounts to take advantage
  • Ensuring customer diligence of security protocols
    • Protecting IDs and passwords
  • Two factor authentications
  • Accountability for fraud loss claims if customer was not diligent

Douglas Bloom, Executive Director, Head of Cybersecurity and North American Privacy and Data Protection Law, Morgan Stanley

10:30 Morning refreshment break

BUSINESS EMAIL COMPROMISE
11:00 Reviewing increase in BEC scams and re-evaluation of systems, business processes, employee training and mitigation strategies

  • Anatomy of business email compromise – recent trends
  • Financial and reputation repercussions
  • Review of recent regulatory and law enforcement advisories
  • Red flags
  • Vulnerabilities in common practices

Timothy Brady, Sr. Director Client Intelligence Unit – Fraud Response, TIAA
Dalit Stern, Senior Director, Enterprise Fraud Risk Management, TIAA

 

BANKING CANNABIS – PANEL DISCUSSION
11:40 Banking cannabis in a fragmented legal system and operationalizing within business units

  • Future of banking Cannabis at a federal level
    • State obligations from state-chartered bank
  • Correspondent banking challenge if cleared to US
  • Managing regulations and client appetite to invest
  • Increased cash deposits with wire transfer systems federally regulated
    • Security concerns with large amounts of cash deposited
    • Fraud and AML oversight of cash transactions
  • Increased diligence from correspondent banks facilitating overseas payments
  • Safe Banking Act: Safe harbour for banks
  • Use of virtual currencies in banking cannabis
  • Setting comfort thresholds and staying within them

Nicole De Bello, Anti-Money Laundering Counsel, Executive Director, Morgan Stanley
Stephen Shine, Chief Regulatory Counsel, Prudential Financial
James Short, Global Head of AML/ATF for Global Banking, Scotiabank

12:30 Lunch break and networking

ALTERNATIVE AND THIRD-PARTY PAYMENTS
1:30 Reviewing emerging payment types and minimizing vulnerabilities to fraudulent activity

  • Mobile network operator payment systems and networks
  • Payment systems outside of banking
    • Instant payments using APIs to transfer funds
  • Monetizing systems within banking
  • Monitoring emerging payment methods: Surveillance technology for transfers
  • Real time payments platform and speed of money flow increasing vulnerability
  • Third party payment providers
  • Maintaining oversight of flow of funds
  • Fraud monitoring and red flags to monitor operations

AML SURVEILLANCE
2:10 Emerging trends and challenges in Transaction Monitoring for detection of money laundering/terrorist financing typologies

  • Holistic Surveillance across AML, Fraud and Market Surveillance
  • Sharing of data across borders – challenges & trends
  • Governance – increased focus
  • Model Validation

Jayati Chaudhury, Financial Crime, AML Transaction Monitoring, Global IB Lead, Barclays

2:50 Afternoon refreshment break and networking

HUMAN TRAFFICKING
3:20 Monitoring and capturing behaviour to identify human trafficking activity and remove financing opportunities

  • Media attention and reputation damage
  • Tracking how behaviour was financed
  • Customer segmentation and applying red flags
    • Transaction monitoring based on red flags
  • Opening accounts under different names
  • Capturing behaviour at a retail level
    • Behaviours not captured in systems
  • Doing more than just stopping accounts
    • Stopping the behaviour before it occurs

Mandy Ramlow, Managing Director, North American Financial Intelligence Unit Head, BMO Harris Bank

TERRORIST FINANCING
4:00 Identifying transactions and patterns to detect potential terrorist financing

  • Identifying low value payments going through high risk locations
  • Lower value transactions through legitimate businesses
  • Use of Bitcoin to move funds
  • Liaising with NGOs to limit money reaching terrorism organisations
  • Identifying terrorist behaviour

4:40 Chair’s closing remarks

4:50 End of Congress

Kosanovich

Jim Barnacle,
Chief, Money Laundering Unit
Federal Bureau of Investigation

Biography

Jim Barnacle will be presenting at Fraud & Financial Crime USA 2020

Douglas Bloom

Douglas Bloom
Executive Director, Head of Cybersecurity and North American Privacy and Data Protection Law
Morgan Stanley

Biography

Doug is an Executive Director in Morgan Stanley’s Legal & Compliance Division. He is responsible globally for the Firm’s cybersecurity and privacy legal matters. Prior to joining Morgan Stanley, Doug was a director in PwC’s Cybersecurity & Privacy, Financial Crimes and Forensics practices, where he led the Firm’s efforts regarding cybersecurity regulatory change. Before PwC, Doug served as a federal prosecutor in the U.S. Attorney’s Office for the Southern District of New York, where he investigated and prosecuted national security cyber offenses, including economic espionage and national defense and government system intrusions. Prior to joining the bar, Doug was as a software engineer and program manager for Xerox’s Palo Alto Research Center, Microsoft and Hewlett Packard.

Doug is a 2015 recipient of the Attorney General’s John Marshal Award, the highest attorney honor granted by the Department of Justice, and a 2013 recipient of the Federal Law Enforcement Foundation’s Prosecutor of the Year award.

He is an Adjunct Professor of Law at Fordham, where he teaches a course on computer crimes and received a Bachelor’s in Symbolic Systems and a Master’s in Linguistics from Stanford University, and a Juris Doctor, cum laude, from Harvard Law School.

Barry Bowen

Barry Bowen
Global Head of Sales
fcase

Biography

Barry is a sales leader, marketer and technologist in the field of data science and fraud prevention. I help financial institutions see and address the full picture of fraud that delivers a reduction in customer friction, fraud and associated operational overheads.

After spending nearly two and a half decades fighting fraud its clear fraud attack methods are always evolving, having a combination of machine, automation and human will always be the best approach, but one thing is for sure, however ever many systems you have, having a joined-up view embedded throughout your fraud operations is key to successfully addressing fraud.

Timothy Brady copy

Timothy Brady
Sr. Director Client Intelligence Unit – Fraud Response
TIAA

Biography

Tim Brady is the Senior Director in the Client Intelligence Unit – Fraud Response at TIAA. In this capacity, he leads the External Fraud Team that includes the Fraud Servicing Intake Call Team as well as Fraud Investigations. Tim has over 31 years in Financial Fraud Investigations and Management. Tim has been a member of the International Association of Financial Crimes Investigators (IAFCI) for 21 years, serving 9 years on the IAFCI International Advisory Board.

Rob Byars copy

Rob Byars
Vice President, Information & Cyber Security
Wells Fargo

Biography

Rob Byars is a Vice President for Information & Cyber Security at Wells Fargo and leads the firm’s partner engagement at the Financial Systemic Analysis & Resilience Center (FSARC) and the National Cyber-Forensics Training Alliance (NCFTA), New York City. Rob also leads a strategic cyber security and fraud convergence initiative to enhance proactive detection and mitigation. Prior to joining Wells Fargo, Rob spent over 20 years in the U.S. Army as a Military Intelligence officer and continues to serve as a Lieutenant Colonel in a Special Operations Detachment of the National Guard.

Jayati Chaudhury

Jayati Chaudhury
Financial Crime, AML Transaction Monitoring, Global IB Lead
Barclays

Biography

Senior Risk and Compliance executive, MBA, CAMS certified. Experience includes design of Credit and Market Risk solutions, Anti Money-Laundering (AML) Transaction Monitoring and Market Surveillance solutions for Capital Markets and Wealth Management. Extensive overall experience shaping strategic vision to achieve business goals.

Nicole De Bello

Nicole De Bello
Anti-Money Laundering Counsel, Executive Director
Morgan Stanley

Biography

Nicole is an Executive Director and Anti-Money Laundering Counsel in the Global Financial Crimes group at Morgan Stanley. In her role, Nicole advises on various financial crimes related issues, including compliance with and interpretation of the Bank Secrecy Act and the Money Laundering Control Act across all of Morgan Stanley’s lines of business. Prior to joining Morgan Stanley, Nicole was senior counsel in the litigation department at GE Capital and before that worked in private practice as a white-collar criminal defense attorney at Lowenstein Sandler LLP and Dickstein Shapiro LLP.

Kyler Hardin

Kyler Hardin
Special Agent
Homeland Security Investigations

Biography

Kyler Hardin has been a Special Agent with Homeland Security Investigations since 2008, when he joined the JFK Narcotics Smuggling Unit, investigating drug importation through JFK airport. In 2017, he joined the HSI NY Dark Web and Cryptocurrency Task Force, during Operation Dark Gold, in which agents posed as a large scale bitcoin money launderer in order to identify dark web vendors. Since that time, he has continued to focus primarily on the illicit use, technical aspects, and tracing of cryptocurrencies.

Andrew Jensen

Andrew Jensen
Global Head of Sanctions
Scotiabank

Biography

Andrew Jensen currently serves as VP, Global Head of Sanctions at Scotiabank. In this role, he oversees all aspects of Scotiabank’s global sanctions program, including governance, investigation, oversight, risk management, and technology solutions.

Before joining Scotiabank, Andrew led the Sanctions Intelligence & Investigations team at Citigroup; and held various leadership positions at the U.S. Department of the Treasury, including Assistant Director of Global Affairs in the Office of Terrorist Financing and Financial Crimes. Andrew holds a Masters of Business Administration (MBA) from Georgetown University and a Bachelor of Arts in Political Science from the University of Utah.

Ken Jones

Ken Jones
Senior Managing Director
FTI Consulting

Biography

Ken Jones is a Senior Managing Director in the Global Risk & Investigations Practice (GRIP) at FTI Consulting, supporting clients with compliance, risk, investigative and remediation strategies and mitigation. His federal law enforcement career spanned more than 20 years from line agent to senior executive and included a wide variety of global risk management, investigative, compliance, security and leadership experiences.

Ken assists global corporations in developing or improving their Financial Crime (AML, FIU, Fraud, ABC, Sanctions) compliance, risk assessment and investigative programs. He has managed AML investigations, fraud risk management and investigations, the financial intelligence unit.

Lester Joseph picture 2014 (2)

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

Biography

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.

Bob Kadel

Bob Kadel
Global Co-Head of Transaction Surveillance
Goldman Sachs

Biography

Bob is the Head of Consumer Financial Crime Compliance Strategy at Goldman Sachs, overseeing financial crime strategy for Marcus, Apple Card and various other consumer initiatives. In his role, Bob has responsibility for the selection, design, development and implementation of customer due diligence, enhanced due diligence, transaction surveillance, investigations, fraud escalation and suspicious activity reporting processes and systems. Prior to this role, Bob held positions as the Global Head of Suspicious Activity Reporting and Global Head of Transaction Surveillance.

Victor Lessoff

Victor Lessoff
MD, Head of Internal Investigations
TIAA

Biography

Victor Lessoff is the Managing Director/Head of Internal Investigations for TIAA, a fortune 100 financial service company providing pension, banking, brokerage, asset management and life insurance services to the non-profit sector. Mr. Lessoff reports directly to the Chief Auditor and has responsibility for all investigations of employee integrity and internal fraud allegations. Mr. Lessoff is also in charge of the Special Investigation Unit for TIAA’s life insurance company.
Prior to his present position, Mr. Lessoff was employed by the Internal Revenue Service, Criminal Investigation (IRS-CI). His last position with IRS-CI was the Director of Technology Operations where he was responsible for delivering comprehensive computer operation services to approximately 4,000 I/T users, including 2,300 law enforcement officers. During his career at IRS-CI Mr. Lessoff has held a number of other positions including Director of Global Financial Crimes and Special Agent in Charge of two field offices (Newark and Tampa). Mr. Lessoff started his IRS career as a Revenue Agent in 1987 in Mays Landing, NJ before transferring to the Criminal Division in 1988.
Mr. Lessoff is a CPA, CFE and CAMS. He holds bachelor’s degree in Accounting from the University of Delaware as well as a MBA from the University of Buffalo.

JL Headshot copy

Jonathan Levin
Co-founder and Chief Strategy Officer
Chainalysis

Biography

Jonathan Levin is Co-founder and Chief Strategy Officer of Chainalysis, the blockchain analysis company. In his role as CSO, he is responsible for designing long-term strategic initiatives that help government agencies, cryptocurrency businesses, and financial institutions investigate illicit activity, comply with regulations, and mitigate risk through anti-money laundering technology and education. Jonathan is regularly called upon to testify for the U.S. Congress and other government hearings on the emerging risks and opportunities in cryptocurrencies. He is also a mentor for the Techstars Alchemist Blockchain accelerator.

Prior to Chainalysis, he was the CEO of Coinometrics, which provided the first dashboard of blockchain intelligence. He was also a postgraduate economist at the University of Oxford, where he researched cryptocurrencies.

Jonathan holds a BSC in Economics from Bristol University and Master of Philosophy in Economics from the University of Oxford. He lives in New York.

Maura copy

Maura Liconte
Director, Deputy Regional Head of Financial Crime Operations
Deutsche Bank

Biography

Maura Liconte is currently the Deputy Head of Financial Crimes Operations (“FCO”), Director for Deutsche Bank.

As the Deputy Head of FCO, Maura is responsible for conducting the day to day oversight of the following teams located in both Jacksonville, Florida and New York locations: Financial Crimes Investigations Unit, Investigations, Suspicious Activity Reporting, Control Effectiveness and Management Information.

The teams are responsible for conducting the monitoring/surveillance, as well as the investigations and identification of suspicious activity for the bank, the filing of the Suspicious Activity Reports as per the Bank Secrecy Act regulations and also working with local law enforcement (i.e. FBI, Department of Justice and FinCEN).

Prior to joining Deutsche Bank, Maura worked at the following institutions: Standard Chartered Bank as the Head of Financial Intelligence Operations, Head of Anti-Money Laundering (“AML”) at Lloyd’s Banking Group, Deputy Head of AML at Royal Bank of Scotland. Maura has over 15 years of US and foreign financial institutional, correspondent banking, FinTech, and broker-dealer experience.

Sabeena Liconte

Sabeena Liconte
Head of Legal & CCO
Bank of China International

Biography

Sabeena serves as Chief Legal Officer and Chief Compliance Officer to the investment banking division of Bank of China International – BOC International (USA) Holdings Inc. and its two subsidiaries, BOCI Commodities & Futures (USA) LLC, a registered futures commission merchant and CME Group Inc. clearing member, and BOC International (USA) Inc., a registered broker-dealer and member of FINRA (collectively, “BOCI”). Prior to joining BOCI, Sabeena served as a Futures & Derivatives Counsel and Compliance Advisor to E*TRADE Financial Corp., including E*TRADE Clearing Corp. and E*TRADE Securities Corp.; and General Counsel and Chief Compliance Officer to Alpari (US), LLC, a CFTC-registered futures commission merchant and retail foreign exchange dealer and member of the NFA, and its affiliate broker-dealer, Alpari Securities LLC. Her previous professional work includes the Office of General Counsel at Merrill Lynch Pierce Fenner & Smith Incorporated, the Division of Enforcement at the Financial Industry Regulatory Authority, the Bank of New York Mellon’s Legal Division and the Securities Fraud Prosecution division of the Attorney General’s Office for the State of New Jersey.

Sabeena is an active member of the American Bar Association, the New York State Bar Association and the New Jersey State Bar Association. She holds a Bachelor of Arts in Criminology and Political Science from the University of Toronto, a Master of Arts in International Relations from Columbia University and a Juris Doctor from the St. John’s University School of Law. She also serves as Chair to the New York County Lawyers Association’s Futures & Derivatives Committee.

Tim Lutz

Tim Lutz
Director, Financial Intelligence Unit
U.S. Bank

Biography

Mr. Lutz is responsible for the collection, analysis, and surveillance of all data sources relevant to the identification and investigation of potentially suspicious activity at U.S. Bank. Customer, transaction, law enforcement, and other external data sources are used in concert to source and develop cases for suspicious activity investigations.
Prior to his current role, he accumulated fifteen years of AML experience including roles as the Financial Crime Analytics and Model Risk Management Executive at a regional bank, a senior manager of AML Insights and Analytics responsible for validation of transaction monitoring systems at a global bank; leader of the AML Technology Practice at a national services firm; and lead designer and developer of analytical processes and scenarios for two leading transaction monitoring products.
He earned his Master of Engineering Management, BSE in Mechanical Engineering, and BA in Mathematics from Duke University.

Alexa Molleur

Alexa Molleur
Compliance Officer, U.S. Department of the Treasury
Office of Foreign Assets Control

Biography

Alexa Molleur is a Compliance Officer at the Office of Foreign Assets Control (OFAC) of the U.S. Department of the Treasury. She investigates possible violations of OFAC regulations and provides outreach on OFAC sanctions via presentations and OFAC’s hotline. Before joining OFAC, Alexa worked at the Office of International Affairs of the U.S. Department of Justice. She earned her BA in Government and Spanish from the University of Maryland.

Mandy Ramlow

Mandy Ramlow
Managing Director, North American Financial Intelligence Unit Head
BMO Harris Bank

Biography

Mandy Ramlow is a financial service professional with over 24 years of banking experience, of which 14 years have been spent in the AML field. Mandy is currently the Director of the U.S. Financial Intelligence Unit at BMO Harris Bank N.A. The FIU is responsible for the monitoring and reporting of suspicious activity, intake and periodic monitoring of high risk customers, currency transaction reporting, testing and tuning of business rules and models, de-marketing of clients for AML triggers, and a Risk Intelligence team mandated to work complex/coded projects and drive analytics and typologies from ingested AML data. Mandy has held a number of roles while in the AML field, including various management roles within the FIU structure.
Prior to joining the AML Office at BMO Harris Bank, N.A., Mandy held a quality assurance/audit role responsible for completing internal audits of various bank operation/ support areas to insure compliance with regulations and internal controls, and a number of roles within the retail branch space.
Mandy began her banking career at the Commonwealth Bank of Australia, in Sydney Australia, prior to moving to the United States, where she has a B.A from the University of Wisconsin. Mandy has been CAMs certified since 2008.

Corey Reason

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

Biography

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.

Rebecca Robertson

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

Biography

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.

Sagar copy

Sagar Shah
VP, Head of Financial Crime Operations – Control Effectiveness
Deutsche Bank

Biography

Sagar Shah has over 8 years of AML experience. He is currently the Head of Control Effectiveness for the Financial Crime Operations (“FCO”) Team at Deutsche Bank (“DB”), which includes the following teams: Investigations, Suspicious Activity Reporting, Special Investigations, Management Information and User Acceptance Testing.

The FCO Control Effectiveness Team is the central key oversight of the various FCO teams for functions such as risk and examination management, maintenance and development of program policies and procedures, operational risk governance and resource management. Prior to joining DB, Sagar was a real estate attorney with a JD from Rutgers University.

Stephen Shine

Stephen J. Shine
Chief Regulatory Counsel
Prudential Financial

Biography

Stephen J. Shine is currently the Chief Regulatory Counsel for Prudential Financial. He was previously the Senior Vice President and Senior Regulatory Counsel with Prudential Securities Inc. and Prudential Equity Group, LLC. where he was responsible for the case management and disposition of all regulatory matters.

Prior to assuming those positions, he supervised senior in-house litigators who were responsible for the defense of major claims against Prudential Securities and managed and supervised the resolution of major class actions filed against the firm. He is both a former state and federal prosecutor who was responsible for the prosecution of significant securities, commodities, bank fraud and FCPA cases nationwide. As a founding co-chair of the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering Committee he was the recipient of the SIFMA Distinguished Leadership Award in 2003. He has lectured, moderated, and chaired numerous conferences on various regulatory issues sponsored by accounting, banking and securities trade associations, and major colleges and universities worldwide. He is a recognized industry leader in Anti-Money Laundering, Sanctions, Anti-Bribery and Corruption Laws. He has conducted training sessions for Securities Regulators and Self-Regulatory organizations in the United States and Regulators and Law Enforcement Agencies in China, Russia and the United Kingdom.

James Short

James Short
Global Head of AML/ATF for Global Banking
Scotiabank

Biography

James Short will be presenting at Fraud & Financial Crime USA 2020

Dalit Stern

Dalit Stern
Senior Director, Enterprise Fraud Risk Management
TIAA

Biography

Dalit Stern is a Senior Director in the Enterprise Risk Management group of TIAA. She leads the build-out of enterprise risk mitigation and detection of fraud and misconduct. She leads assessments of fraud risks; defining and monitoring of fraud metrics and KRIs; developing of root-cause analysis and escalation protocols, risk appetite statements and the ongoing review of the effectiveness of counter-fraud controls.

In her prior roles, including as a Partner in the forensic practice of a Big Four Accounting firm, Ms. Stern led numerous investigations of financial and accounting irregularities, corruption, bribery and conflicts-of-interest in international corporations and development organizations.

Ms. Stern is a CPA (Isr.) and a Certified Fraud Examiner (CFE). She is a MBA graduate of Tel Aviv University and holds a certificate in Cybersecurity: Managing Risk in the Information Age, issued by Harvard University Office of Vice Provost.

She is an adjunct professor at New York’s Baruch College where she teaches courses focused on forensic investigations, corruption and procurement fraud.

Ms. Stern is a frequent speaker and author on topics of fraud risk management and investigations.

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Presentations

Networking

Networking Breaks

meet the speakers

Meet The Speakers

For further information please call us on +1 888 677 7007 or email james.marinos@cefpro.com

We interview Nasser Fattah, Managing Director, Bank of Tokyo Mitsubishi UFJ on the key takeaways from his session at Risk Americas 2018 on cyber security simulated threat exercises.

The Center for Financial Professionals hosted the Vendor & Third Party Risk Europe 2019 in London during June 2019.

17th January 2020

Research survey: Basel IV Readiness – How prepared is your firm?

17th January 2020

Mitigating financial crime through leveraging global intelligence concepts to share information across the industry

By Corey A. Reason, Head of Compliance, Clarien Bank Limited
9th January 2020

Leveraging global intelligence concepts to share information across the industry for mitigation of financial crime

By Lester Joseph, Head, Global Financial Crimes Intelligence Group, Wells Fargo & Company
7th January 2020

Transaction monitoring for suspicious activity and reducing false positives using technology advances

By Rebecca “Becky” Schauer Robertson, Director of AML Compliance, South State Bank
7th January 2020

Tracking flow of funds and understanding beneficial ownership to identify fraudulent activity

By Victor Lessoff, MD, Head of Internal Investigations, TIAA
2nd January 2020

Global research survey: Technology risk in financial services

Chainalysis


Chainalysis is the blockchain analysis company. We provide compliance and investigation software to the world’s leading banks, businesses, and governments. Our experts in financial crime and economic analysis empower our customers to derive insights they can act on. Backed by Accel, Benchmark, and other leading names in venture capital, Chainalysis builds trust in blockchains. For more information, visit www.chainalysis.com.

FTI Consulting


FTI Consulting is an independent global business advisory firm dedicated to helping organizations manage change, mitigate risk and resolve disputes: financial, legal, operational, political & regulatory, reputational and transactional. Individually, each practice is a leader in its specific field, staffed with experts recognized for the depth of their knowledge and a track record of making an impact. Collectively, FTI Consulting offers a comprehensive suite of services designed to assist clients across the business cycle – from proactive risk management to the ability to respond rapidly to unexpected events and dynamic environments.

fcase


fcase helps organisations reduce fraud significantly by uncovering the full picture of all fraud. fcase powerful fraud investigation capabilities orchestrate all the relevant evidence breaking down a fraudster’s fabrications. This enables organisations to manage fraud across all fraud systems, risk, operational and customer ecosystems, at speed, with great efficiency.

Stand-alone fraud systems do not address fraud fully. Fraud needs to be managed throughout the whole enterprise, and this is the reason we built fcase, to create a fraud hub, to enable true fraud management that brings together all fraud systems into one investigation tool. fcase is a fraud operations solution, building a mission control to manage fraud across the whole organisation.

CAN YOUR ORGANIZATION CONTRIBUTE?

Please contact the Center for Financial Professionals today to discuss how we can deliver your thought-leadership at the event, help you generate leads, and provide you with unique networking and branding opportunities. For more information on what we can offer, please contact sales@cefpro.com or call us on +1 888 677 7007 where a member of the team will be happy to tailor the right package for you.

MEDIA PARTNERS

Fintech Finance


Fintech Finance works with prominent executives in the industry to provide key decision-makers globally within the foremost financial services organizations with consistent and accurate intelligence on emerging trends, breakthrough technologies and stimulating developments, helping them to make informed decisions. At Fintech Finance, we produce monthly video episodes looking at range of topics within financial services, as well as attending some of the most prominent events within the sector.

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

Crowne USA Venue

PREFERENTIAL RATES AT THE VENUE
We have secured a preferential rate of $279++ per night at the Crowne Plaza Times Square. Please note that we have a limited number of rooms available.

INTERNET RESERVATIONS
To make reservations online please click: https://book.passkey.com/e/49996457
Please ensure to enter the arrival / departure dates, to reserve at the discounted rate.

Can I present at the Fraud and Financial Crime USA 2020 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 +1 888 677 7007

Please note:

  • Registrations must be made at the same time
  • Registrations must come from the organization
  • 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 website
Place your logo on the brochure
Place your logo on promotional content where applicable
Distribute your media/marketing at the event
Promote through social media channels

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

Representing a financial institution – (E.g. Bank, Insurance company, Asset Manager, Regulator)

NEW YEAR SPECIAL

$1,099

Register by January 31
(SAVE $700)

EARLY BIRD

$1,399

Register by March 6
(SAVE $400)

STANDARD RATE

$1,799

Registrations after March 6

Representing an Information/Service Provider (Eg: Consultant, Vendor, Executive Search Firm, Law Firm)

EARLY BIRD

$1,799

Register by March 6
(SAVE $400)

STANDARD RATE

$2,199

Registrations after March 6

PLEASE NOTE: To qualify for the preferential ‘early bird’ rates, registration must be received by the close of the ‘early bird’ working day, and payment can be made at the time of registering, or up to a week after registration is made an invoice sent. CeFPro reserves the right to increase rates should payment be delayed significantly. For Group Rates to be valid, the whole group must register at the same time, though names can be changed at any time up to the event at no additional cost. Should a delegate register at a rate that is inaccurate, CeFPro reserves the right to issue an additional invoice for the outstanding amount.

Group rates are available for 3 or more attendees from the same organisation, 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!

1. REGISTER BY EMAIL

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

We only need your:
Full name
Job title
Company & address
Contact number

2. CONTACT US DIRECTLY

Call us on +1 888 677 7007 or +44 (0) 20 7164 6582

3. DOWNLOAD PDF REGISTRATION FORM

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