ComplianceOnline

"Managing an Effective AML Compliance Program" - This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 17 CPE credits upon completion of this workshop.

We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail cpe@nasba.org.

Are the financial transactions within your organization subject to money laundering risk? Do you have a robust internal controls program that focuses on mitigating the greatest AML/Fraud risks? Are your employees aware of the red flags within all financial transaction business processes and know what to do if they find unusual or suspicious activity? Are your company and management up to date on its compliance requirements and the potential impact of non-compliance?

Whether you need to get back-to-basics or you are a seasoned AML professional, join us as we explore the many facets of managing an effective AML compliance program: Join us as we focus on the following key elements:

  • Regulatory frameworks surrounding anti-money laundering
  • Objectives of an effective AML compliance program
  • Risk assessing your institution
  • Developing robust internal controls
  • Training for appropriate personnel
  • Expectations and duties of the appointed compliance officer
  • Effective audit program to ensure adequacy of your AML compliance program
Seminar Fee Includes:
Lunch
AM-PM Tea/Coffee
Seminar Material
USB with seminar presentation
Hard copy of presentation
Attendance Certificate
$100 Gift Cert for next seminar

Learning Objective:

Key goals of this course are:

  • To provide an understanding of money laundering and how it can impact an institution
  • To review the importance of “tone at the top” and how to implement a compliance-friendly environment
  • To learn about the critical internal controls and how these controls can protect your institution
  • The course will focus on the 4 pillars of an AML compliance program:
    • Policies, procedures and internal controls
    • Designation of a compliance officer
    • Training for appropriate personnel
    • Independent audit
  • To understand the importance of the risk assessment
  • To focus on the senior management/board of directors oversight of the Program
  • To discuss customer due diligence and know your customer expectations
  • To discuss knowing your high risk customers
  • To review implementation steps for enhanced customer due diligence
  • To discuss red flags indicating unusual or suspicious activity
  • To understand detection and reporting requirements under the Bank Secrecy Act
  • To discuss recent case studies

Who Will Benefit:

BSA/AML Officers, Compliance Officers, AML Analysts, Operations Managers, Remittance Analysts, Consultants, Internal Auditors, Accounting and Finance Directors, Internal Auditors, Legal Departments, Compliance Officers, and Risk Managers at Banks, Broker-Dealers, Residential Mortgage Lenders & Originators, Precious Gems Traders, Money Services Businesses and other nonbank financial institutions.

  • Risk Management
  • Legal
  • Regulatory
  • Compliance
  • Audit

Field of Study:

  • Administrative Practice: 1.2 Credits
  • Auditing: 0.6 Credit
  • Business Management & Organization: 7.8 Credits
  • Communications: 2 Credits
  • Computer Science: 1.8 Credits
  • Personnel/HR: 0.6 Credit
  • Social Environment of Business: 1 Credit
  • Specialized Knowledge and Applications:2 Credits
  • Total CPE credits earned in this seminar: 17 CPE Credits

Program Delivery Method: Group-Live
Program Level: Basic
Advance Preparation/Program Prerequisites: None

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure
Day 01(8:30 AM - 5:00 PM)
  • Registration Process: 8:30 AM – 9:00 AM
  • Session Start Time: 9:00 AM
  • 9.00 AM - 12.00 PM: Understanding the Basics (3 Hours)
    • Money Laundering Basics
    • Regulatory Overview
      • U.S. Federal Regulating Agencies
      • History of U.S. Money Laundering Regulation
      • Bank Secrecy Act
      • USA PATRIOT Act
      • U.S. Federal Statutes
      • Role of Regulators & Expectations
    • The Four Pillars
      • Policies, procedures & internal controls
      • Appointment of Compliance Officer
      • AML Training
      • Independent Testing
    • Oversight & Management
      • “Tone at the Top”
      • AML Governance
      • Compliance Task Force
      • Fostering Partnerships in LOBs
  • 12.00 - 1.00 PM: Lunch
  • 1.00 PM - 4.30 PM: Managing Money Laundering Risk (3.5 hours)
    • Developing a Risk Assessment
      • Identifying high risk activities in the institution
      • Knowing your high risk customers
    • Customer Identification Program (CIP)
      • Conducting Customer Due Diligence (CDD)
      • Enhanced Due Diligence (EDD)
      • Know Your Customer (KYC)
    • Office of Foreign Assets Control (OFAC) & Sanctions Programs
      • Multinational Issues
      • History of Economic Sanctions Programs
      • Screening tools
      • Hits – Blocking & Rejecting
      • OFAC Risk Assessments
      • OFAC Reporting & Documentation
      • Enforcement Guidelines
Day 02(8:30 AM - 4:30 PM)
  • 8.30 AM - 8.35 AM: Welcome & Recap of Previous Topics
  • 8.35 AM- 10.35 AM: Monitoring & Reporting of Suspicious Activities (2 Hours)
    • Transaction Monitoring
      • Manual Vs. Automated
      • Managing & Fine Tuning Alerts
    • Investigate Protocols
      • Defining Suspicious Activity
      • Escalation & Referrals
      • Case Management
    • Reporting & Recordkeeping
      • CTR & CTR Exemptions
      • CMIR
      • Travel Rule / Funds Transfers
      • Monetary Instruments
      • FBAR
      • Form 8300
      • SARs
  • 10.35 - 11.15 PM: Repercussions (40-Minutes)
    • Failure to Comply
      • Criminal & Civil Penalties
      • Common Deficiencies Causing Enforcement
  • 11.15-12.00 PM: Case Studies (45-Minutes)
    • Case Studies
      • What Went Wrong?
      • Contrast & Compare
  • 12.00 PM - 12.45 PM: Lunch
  • 1.00 PM - 1.45 PM: Issues & Answers: Open Discussion (45-Minutes)
  • 1.45 PM - 4.15 PM: Workshop & Exercises (150 minutes)
  • 4.15 PM - 4.30 PM: Wrap Up
Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure
Laura H. Goldzung

Laura H. Goldzung
President and Founder of AML Audit Services, LLC

Laura H. Goldzung, CAMS, CFE, CFCS, CPAML. CCRP is the President and CEO of AML Audit Services, LLC (“AMLAS”), a boutique consultancy specializing in independent testing of anti-money laundering compliance programs for bank and nonbank institutions, and serves as its principal examiner. In addition, her expertise includes custom training, and compliance consulting services, which includes design Bank Secrecy Act/Anti-Money Laundering and Anti-Fraud compliance programs, custom training, and compliance consulting services.

In a career spanning more than 35 years across multiple sectors of the financial services industry, Ms. Goldzung has worked in a variety of executive leadership roles. Since founding AMLAS, she has co-created sector-specific compliance officer certification programs and presents various AML/Anti-Fraud topics for industry-leading organizations, and has authored many articles on the topic of AML. Ms. Goldzung has worked with financial institutions that have been referred to enforcement for BSA/AML violations, helping them to bring their AML programs into compliance.

Ms. Goldzung serves as a dispute resolution arbitrator and is active with several industry groups including the Association of Certified AML Specialists, Association of Certified Fraud Examiners, Association of Certified Financial Crime Specialists, National Society of Compliance Professionals, SIFMA Compliance & Legal Society and Institute of Internal Auditors. She serves on a variety of industry task forces and committees, and contributes to a number of compliance, industry and university education programs.

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure

Register Now

Contact customercare@complianceonline.com for Group Registration (Save up to 30%)

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$1,299.00

Seminar One Registration

December 7-8, 2017, Phoenix, AZ
(For Registrations till August 25, 2017 - $1299)
(For Registrations till September 25, 2017 - $1499)
(For Registrations till October 25, 2017 - $1599)
(For Registrations after October 25, 2017 - $1699)

$1,899.00

Seminar One Registration (With 2 Nights Stay)

December 7-8, 2017, Phoenix, AZ

$5,999.00
$7,794.00 (23%)*

Save $1,795.00

Special Group Discount Register for Six attendees

December 7-8, 2017, Phoenix, AZ
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Early bird seats are limited and based on first-come, first-serve.

The registration fee includes: the workshop; all related course materials; morning tea/coffee; lunch; Afternoon tea/coffee on both the days.


For discounts on multiple registrations, contact customer care at +1-888-717-2436.

Other Registration Option

By order form / PO#

Payment Mode

By Check -
Pay your check to (payee name) “MetricStream Inc” our parent company and Mail the check to:

ComplianceOnline (MetricStream, Inc),
2479 East Bayshore Road Suite 260
Palo Alto, CA 94303
USA

By Wire -

Register / Pay by Wire Transfer

Please contact us at +1-888-717-2436 to get details of wire transfer option.

Terms & Conditions to Register for the Seminar/Conference/Event

Your registration for the seminar is subject to following terms and conditions. If you need any clarification before registering for this seminar please call us @ +1-888-717-2436 or email us @ customercare@complianceonline.com

Payment:
Payment is required 2 days before the date of the conference. We accept American Express, Visa and MasterCard. Make checks payable to MetricStream Inc. (our parent company).

Cancellations and substitutions:
Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund - less a $300 administration fee. No cancellations will be accepted - nor refunds issued - within 10 calendar days before the start date of the event.

On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($300) will be transferred to any future ComplianceOnline event and a credit note will be issued.

Substitutions may be made at any time. No-shows will be charged the full amount.

We discourage onsite registrations, however if you wish to register onsite, payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available, we will send the material after the conference is over.

In the event ComplianceOnline cancels the seminar, ComplianceOnline is not responsible for any airfare, hotel, other costs or losses incurred by registrants. Some topics and speakers may be subject to change without notice.

Attendance confirmation and documents to carry to the seminar venue:
After we receive the payment from the registered attendee, an electronic event pass will be sent to the email address associated with the registrant 5 working days before the seminar date. Please bring the pass to the venue of the event.

Conference photograph / video:
By registering and attending ComplianceOnline conference, you agree to have your photographs or videos taken at the conference venue and you do not have any objections to ComplianceOnline using these photos and videos for marketing, archiving or any other conference related activities. You agree to release ComplianceOnline from any kind of claims arising out of copyright or privacy violations.

Location:

Phoenix, AZ
(Venue to be announced shortly)

December 7-8, 2017

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure

Testimonials

All topics were valuable. Laura was an excellent presenter. She has lot of excellent practical job experience in AML and gave good real life examples from her own experience. I learned a lot! Very nice portfolio and pen provided. Also the presentation on thumb drive was nice one. I appreciate the variety of courses (On-line & In- Person) provided by ComplianceOnline.

Senior Auditor,

Federal Reserve Bank of Atlanta

The presenter was very knowledgeable with the topic. Risk assessment topic was very valuable because it is the cornerstone of an effective AML program.

Audit Manager,

American International Group

The presenter was excellent session leader, very knowledgeable and well-spoken. The topic was well chosen and interaction between the participants and the presenter was good.

Assistant Treasurer,

Cumberland Gulf Group of Companies

The presenter was very knowledgeable and subjects were well chosen.

AML/BSA/OFAC Officer,

GE Capital Retail Bank

Overall it was good seminar. The topic AML monitoring was very valuable as it pertains to my job function.

Senior BSA/AML Analyst,

AVP, Texas Capital Bank

The presenter was knowledgeable. The topic on Oversight & Management was most valuable; it gave me a big picture.

Branch Manager,

Bank of China, Chicago Branch

It was good seminar. The topic on reporting forms was most valuable.

Deputy Chief Compliance Officer,

American International Group

It was a good baseline. All topics were very valuable and informative.

Senior Product Manager,

ACI Worldwide

The presenter was very knowledgeable. Understanding the basic topic was very informative.

Lead - Business Risk & Fraud Analyst,

Federal Reserve Bank

Great Presenter, Interesting stories that were helpful, Good material

Director Corporate Compliance,

IGT

The presenter was very knowledgeable

Director of Risk & Merchant services,

ABC Financial Services Inc.

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure

We are pleased to offer several exhibitor, sponsorship and media partnership options designed to maximize your company's exposure and networking opportunities before, during and after the event.

Benefits of becoming a Sponsor/Exhibitor/Media Partner:

  • Logo on website, marketing email, branding materials & the registration booth
  • Exhibit Space
  • Free event pass
  • Speaking opportunity
  • Social media campaign

For more details and other sponsorship options at this event, please contact Event Manager: customercare@complianceonline.com or call: +1-650-238-9656

Media Partner:

Media Partner

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