UNDERSTAND HOW TO RESPOND TO AML AUDITS AND DEVELO 2015 - Your AML Program is Being Audited, Now What?
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Category Banking and Financial Services
Deadline: January 28, 2015 | Date: January 28, 2015
Venue/Country: Palo Alto, U.S.A
Updated: 2015-01-23 14:29:21 (GMT+9)
Call For Papers - CFP
From OFAC procedures to account opening, client vetting and transaction monitoring, the regulatory obligations laid upon a financial institution are many. With that comes the inevitable review of the effectiveness of your program as a whole and its application in particular. This program will assist you in developing a plan to deal with this process. Understanding the application of the program to your institution, the corresponding regulatory requirements and the tools you use all go a long way in dealing with and substantiating your position that your program is sufficient and effective for your needs.Why Should You Attend:AML program audits have become a mandate, and consequently, staying prepared is a must. This course will provide you the tools and understanding that you need to deal with the process.Who Will Benefit:Risk and Compliance ManagementAML/BSA OfficersConsultants in the AML/BSA IndustryDevelopers of AML/BSA SoftwareCompliance Analysts and AdvisorsCompany ManagementAudit ProfessionalsInstructor Profile:Warren R. Markowitz is an attorney, consultant and veteran compliance officer. Since 1994, Mr. Markowitz has been directly involved with the U.S. financial sector, providing services to a range of clients including domestic and international financial service providers and companies raising funds in the U.S. Mr. Markowitz has provided training and support to his clients in dealing with federal, state and self-regulatory organizations and provided hands on services as a lawyer and advisor on applicable technology through his professional relationships with several consulting and technology advisory firms.Keywords: Accepted papers list. Acceptance Rate. EI Compendex. Engineering Index. ISTP index. ISI index. Impact Factor.
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