Overview

Anti-Money Laundering & Financial Crimes Conference

Date

February 04 - February 05, 2019

Location

New York, NY

On-Site Rates

  • Member $1295
  • Non-Member $1545
  • Regulator $795

Overview

SIFMA’s Anti-Money Laundering & Financial Crimes Conference brings together leading professionals from the securities industry, regulatory agencies and law enforcement to discuss current developments and priorities in the AML and financial crime space. Celebrating its 19th year, this is the only conference in the AML and financial crime space tailored to broker-dealers and other members of the securities industry.

Program

8:00am – 6:00pm

Registration Desk Hours

8:00am – 8:45am

8:45am – 8:55am

Participants

Ira D. Hammerman

Speaker

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

8:45am – 5:00pm

Sponsored by TransparINT, LLC 

Sponsored by TransparINT, LLC 

8:55am – 9:15am

Participants

Kenneth A. Blanco

9:15am – 10:30am

Hear from industry regulators and policy makers about significant milestones in 2018 and priorities for the upcoming year. The panelists will share their perspectives on key AML and financial crime…

Hear from industry regulators and policy makers about significant milestones in 2018 and priorities for the upcoming year. The panelists will share their perspectives on key AML and financial crime issues impacting financial firms and examination touchpoints in 2019.

Participants

Stephen J. Shine, Stephanie L. Brooker, Lisa M. Palluconi, Andrea Sharrin, Blake Snyder

Moderator

Stephen J. Shine

Chief Regulatory Counsel

Prudential Financial, Inc.

Stephen J. Shine’s Biography

Panelists

Lisa M. Palluconi

Associate Director, Sanctions Policy & Implementation (SPI)

U.S. Department of the Treasury’s Office of Foreign Assets Control

Lisa M. Palluconi’s Biography

Andrea Sharrin

Associate Director, Policy Division

Financial Crimes Enforcement Network (FinCEN)

Andrea Sharrin’s Biography

Blake Snyder

Director, AML Investigative Unit

FINRA

Blake Snyder’s Biography

10:30am – 10:55am

10:55am – 12:10pm

Join this panel of expert compliance professionals to examine the latest AML and financial crime challenges, including best practices in enterprise financial crime compliance, a CDD post-implementation review, and the evolving…

Join this panel of expert compliance professionals to examine the latest AML and financial crime challenges, including best practices in enterprise financial crime compliance, a CDD post-implementation review, and the evolving financial crime landscape.

Participants

James Fiebelkorn, Sarah D. Green, Robert (Bob) Molloy, David G. Sewell, Meg Zucker

Moderator

James Fiebelkorn

Vice President and Global AML Officer

Ameriprise Financial Services Inc.

James Fiebelkorn’s Biography

Panelists

Sarah D. Green

Global Head of Financial Crimes Officer

Vanguard Group, Inc.

Sarah D. Green’s Biography

Robert (Bob) Molloy

Chief Anti-Money Laundering Officer

Raymond James Financial, Inc.

Robert (Bob) Molloy’s Biography

Meg Zucker

Global Anti-Money Laundering Head

RBC Capital Markets

Meg Zucker’s Biography

12:10pm – 1:20pm

Networking Lunch

1:20pm – 2:35pm

Seventeen years after the enactment of the USA PATRIOT Act, institutional businesses continue to struggle with the application of basic AML principles: who is the customer, what is the transaction,…

Seventeen years after the enactment of the USA PATRIOT Act, institutional businesses continue to struggle with the application of basic AML principles: who is the customer, what is the transaction, and how do you know what you don’t know? This panel will review recent cases and guidance and the application of rules and typologies in capital markets businesses.

Participants

Alan Williamson, Winnie Gilmore, Elena Hughes, Rockwell Reid, Betty Santangelo

Moderator

Alan Williamson

Director, Financial Crime Compliance Wealth & Investment Management, Americas

Barclays

Alan Williamson’s Biography

Panelists

Winnie Gilmore

Regulatory Development Compliance Officer, U.S. Financial Crime Compliance

Credit Suisse

Winnie Gilmore’s Biography

Elena Hughes

Executive Director, Head of AML - Institutional Securities Group

Morgan Stanley

Elena Hughes’s Biography

Rockwell Reid

Senior Vice President, AML Compliance Risk Management – Banking, Capital Markets and Advisory

Citi

Rockwell Reid’s Biography

This panel will explore AML requirements applicable in the introducing/clearing space, including FinCEN guidance and relevant topics that arise, such as information sharing, joint SAR filing, delegation and reliance, and provision of AML…

This panel will explore AML requirements applicable in the introducing/clearing space, including FinCEN guidance and relevant topics that arise, such as information sharing, joint SAR filing, delegation and reliance, and provision of AML tools.

Participants

Elizabeth “Paige” Baumann, Brian Curtis, Michael Dressen, Timothy Friedman, Gerald J. Russello, Monique Townsend

Moderator

Elizabeth “Paige” Baumann

Senior Vice President, Chief Anti-Money Laundering Officer

Fidelity Investments

Elizabeth “Paige” Baumann’s Biography

Panelists

Brian Curtis

Global Head of Anti-Money Laundering

Pershing LLC, a BNY Mellon Company

Brian Curtis’s Biography

Michael Dressen

Director of Anti-Money Laundering

RBC Wealth Management

Michael Dressen’s Biography

Timothy Friedman

Director of Financial Investigations and Compliance Operations

Securities America

Timothy Friedman’s Biography

Monique Townsend

Vice President, Director of PWM BSA/AML Compliance

First Republic

Monique Townsend’s Biography

2:35pm – 3:00pm

3:00pm – 4:15pm

How effective is your independent testing in identifying and remediating areas of concern?  Are you comfortable with the level of collaboration at your firm between Corporate Audit and AML? Join…

How effective is your independent testing in identifying and remediating areas of concern?  Are you comfortable with the level of collaboration at your firm between Corporate Audit and AML? Join us for a panel discussion which promises to address these questions and more. Hear from industry leaders in Audit on their perspectives in testing and what they foresee changing, as the surveillance landscape begins to embrace machine learning and artificial intelligence.

Participants

Jeffrey Weiss, Ana Alonso, Matthew Geary, Maura Kugler-Vasilescu, Tim O’Neal Lorah

Moderator

Jeffrey Weiss

Managing Director & Chief Anti-Money Laundering Officer

TD Ameritrade, Inc.

Jeffrey Weiss’s Biography

Panelists

Ana Alonso

Global Head of Audit for Corporate Compliance, Legal and Services

Goldman, Sachs & Co.

Ana Alonso’s Biography

Matthew Geary

Chief Audit Executive

E*Trade Financial Corporation

Matthew Geary’s Biography

Maura Kugler-Vasilescu

Managing Director and Head of Internal Audit for Financial Crimes, Compliance and Conduct

Morgan Stanley

Maura Kugler-Vasilescu’s Biography

Tim O’Neal Lorah

Managing Director

Navigant Consulting, Inc.

Tim O’Neal Lorah’s Biography

How does your firm look at AML and sanctions risks for new products, services, vendor relationships, or other changes to the business?  Are these risks considered by a new products…

How does your firm look at AML and sanctions risks for new products, services, vendor relationships, or other changes to the business?  Are these risks considered by a new products committee, and what role do AML and sanctions compliance play in that committee? Who assesses whether new products are invested in potentially risky activities (e.g., crypto-related holdings)? Who considers the risks associated with any new vendor relationships?

Is there enterprise-wide coordination, including with global counterparts? What effective governance practices can your firm apply to ensure that the firm is complying with applicable legal and regulatory requirements in the context of changes to the business; that appropriate measures have been taken to protect the firm from risk (e.g., through contractual provisions); and that there is consistency in decision-making?

Participants

Katrina A. Carroll, Jeremy Dresner, Michael W. Idol, Paul Khareyn, Brock Miller, David Stetson

Moderator

Katrina A. Carroll

Executive Vice President and Chief Anti-Money Laundering Officer

LPL Financial LLC

Katrina A. Carroll’s Biography

Panelists

Jeremy Dresner

Special Counsel

Wilmer Hale

Jeremy Dresner’s Biography

Michael W. Idol

Managing Director, Deputy AML Compliance Officer

Charles Schwab & Co., Inc.

Michael W. Idol’s Biography

Paul Khareyn

Senior Vice President, Anti-Money Laundering Policy Office

HSBC Securities (USA) Inc.

Paul Khareyn’s Biography

Brock Miller

Senior Manager, Corporate Securities Review

Raymond James & Associates, Inc.

Brock Miller’s Biography

David Stetson

Vice President and Associate General Counsel

Goldman, Sachs & Co.

David Stetson’s Biography

The FATF Risk-based Approach Guidance for the Securities Sector was updated in October 2018. Additionally, regulators and bodies like the FATF around the world are talking about the need for…

The FATF Risk-based Approach Guidance for the Securities Sector was updated in October 2018. Additionally, regulators and bodies like the FATF around the world are talking about the need for innovation to manage financial crime risk. In this session will review the updated guidance and how technology can support compliance with the updated perspective and also cover how innovation can help manage risk effectively. We will focus on accurate detection and operational efficiency in the context of a risk based approach.

 

Participants

Andrew Davies

Speaker

Andrew Davies

Vice President, Global Market Strategy, Financial Crime Risk Management

Fiserv

Andrew Davies’s Biography

4:15pm – 5:00pm

This discussion will focus on identifying and understanding the human trafficking threat from a financial perspective, including the potential exposures within the…

This discussion will focus on identifying and understanding the human trafficking threat from a financial perspective, including the potential exposures within the financial services industry, typologies and indicators of activity, and the role of compliance/AML in identifying the activity. 

Participants

David Fein, Bryan Smith

Speakers

David Fein

Group General Counsel

Standard Chartered

David Fein’s Biography

Bryan Smith

Assistant Special Agent in Charge

Federal Bureau of Investigation (FBI)

Bryan Smith’s Biography

5:00pm – 6:00pm

Sponsored by Fiserv 

Sponsored by Fiserv 

7:30am – 4:00pm

Registration Desk Hours

7:30am – 8:15am

8:15am – 8:45am

Participants

James Fiebelkorn, Michael Rufino

Moderator

James Fiebelkorn

Vice President and Global AML Officer

Ameriprise Financial Services Inc.

James Fiebelkorn’s Biography

Speaker

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Michael Rufino’s Biography

8:15am – 4:00pm

General Session Audio Visual

8:45am – 10:00am

Firms continue to invest in conduct risk programs, as culture and conduct issues have been at the root of several enforcement actions in recent years.  This panel will examine how conduct risk lapses can contribute…

Firms continue to invest in conduct risk programs, as culture and conduct issues have been at the root of several enforcement actions in recent years.  This panel will examine how conduct risk lapses can contribute to potential AML program deficiencies and will explore the useful linkages that can exist in the control frameworks for management of conduct and AML program risks.

Participants

Frederick Reynolds, Jodi L. Avergun, Michelle L. Neufeld, Daniel S. Ruzumna, Craig Timm

Moderator

Frederick Reynolds

Global Head of Financial Crime Legal

Barclays

Frederick Reynolds’s Biography

Panelists

Michelle L. Neufeld

Executive Vice President and Financial Institutions Group & International – Control Leader Wholesale Control Organization

Wells Fargo & Company

Michelle L. Neufeld’s Biography

Craig Timm

Managing Director, Global Markets & Investments, AML Compliance & Risk

Bank of America Merrill Lynch

Craig Timm’s Biography

Hear how firms are adapting to new typologies, moving faster, recruiting, and using new technologies such as artificial intelligence and machine learning to detect, prevent, and report financial crime.

Hear how firms are adapting to new typologies, moving faster, recruiting, and using new technologies such as artificial intelligence and machine learning to detect, prevent, and report financial crime.

Participants

Logan Anderson, Joseph C. Del Broccolo III, April Dennis, Janice Stark, Baha Sarana

Moderator

Logan Anderson

Director, AML Strategy & Investigations

TD Ameritrade, Inc.

Logan Anderson’s Biography

Panelists

Joseph C. Del Broccolo III

US Regional Head of Transaction Monitoring

HSBC Bank USA

Joseph C. Del Broccolo III’s Biography

April Dennis

Director, Head of AML Modeling, SG Americas

Société Générale

April Dennis’s Biography

Janice Stark

System Operations Manager, Anti-Money Laundering and Anti-Fraud

Ameriprise Financial, Inc.

Janice Stark’s Biography

Baha Sarana

Executive Director, Legal and Compliance

Morgan Stanley

Baha Sarana’s Biography

10:00am – 10:25am

Networking Break

10:25am – 11:40am

As sanctions programs in the United States, United Kingdom, European Union, and other jurisdictions have increasingly diverged in certain areas, how does this affect firms’ abilities to manage global sanctions…

As sanctions programs in the United States, United Kingdom, European Union, and other jurisdictions have increasingly diverged in certain areas, how does this affect firms’ abilities to manage global sanctions compliance programs in light of differing or even conflicting obligations?  This panel of industry experts and practitioners will discuss the areas of greatest divergence and the practical implications of each. How are these sanctions likely to evolve?  What are tension points for compliance teams within large sophisticated financial institutions?  The panel will consider these questions and provide valuable insight on developing an appropriate policy and control framework to ensure ongoing compliance.

Participants

Jonathan Thomas, Dorothy Bennett, Molly McLane, Aaron Wolfson

Moderator

Jonathan Thomas

Head of Sanctions Group

Goldman, Sachs & Co.

Jonathan Thomas’s Biography

Panelists

Dorothy Bennett

Managing Director – Global Sanctions Compliance

J.P. Morgan Chase & Co.

Dorothy Bennett’s Biography

Molly McLane

Managing Director, Head of the Global Financial Crimes (GFC) Legal

Morgan Stanley

Molly McLane’s Biography

The explosion of big data and social networking has resulted in a deluge of information being made available to today’s…

The explosion of big data and social networking has resulted in a deluge of information being made available to today’s tech-savvy criminal, expanding the surface of the global threat landscape related to fraud and other financial crimes that fall within the detection and reporting requirements of AML programs.  This panel will explore methods to expand and extend capacity, leverage “force multipliers” within your firm, and think ahead of the threats facing our industry.  

Participants

Greg Ruppert, Jason Foye, Sean Friedly, Heather Jewell, Prashanth Mekala

Moderator

Greg Ruppert

Senior Vice President – Financial Crimes Risk Management

Charles Schwab & Co., Inc.

Greg Ruppert’s Biography

Panelists

Jason Foye

Director - AML Investigative Unit

FINRA

Jason Foye’s Biography

Sean Friedly

Senior Manager, Head of AML & Financial Crimes Investigations

Raymond James & Associates, Inc.

Sean Friedly’s Biography

Heather Jewell

Vice President, Compliance, Legal & Risk

LPL Financial

Heather Jewell’s Biography

Prashanth Mekala

Supervisory Special Agent

Federal Bureau of Investigation (FBI)

Prashanth Mekala’s Biography

11:40am – 12:55pm

Sponsored by Sidley Austin LLP

Sponsored by Sidley Austin LLP

Participants

Christopher Delzotto

1:00pm – 2:15pm

This panel of experts will review recent enforcement developments in the AML and financial crime space, including recent cases and…

This panel of experts will review recent enforcement developments in the AML and financial crime space, including recent cases and statements from law enforcement and administrative agency leadership. Among other things, the panel will examine changes your firm may wish to consider for your compliance program to address current expectations and lessons learned from enforcement. 

Participants

John Davidson, Toni Chion, Christopher Kelly, Matthew Levine, Sharon Cohen Levin, Leo R. Tsao

Moderator

John Davidson

Senior Vice President & Global Head of Anti-Money Laundering

E*Trade Financial

John Davidson’s Biography

Panelists

Christopher Kelly

Senior Vice President of Sales Practice Enforcement

FINRA

Christopher Kelly’s Biography

Matthew Levine

Executive Deputy Superintendent for Enforcement

New York State Department of Financial Services

Matthew Levine’s Biography

Sharon Cohen Levin

Partner

WilmerHale

Sharon Cohen Levin’s Biography

Leo R. Tsao

Chief, Bank Integrity Unit, Money Laundering and Asset Recovery Section of the Criminal Division

U.S. Department of Justice

Leo R. Tsao’s Biography

2:15pm – 2:40pm

Sponsored by Chainalysis Inc. 

Sponsored by Chainalysis Inc. 

2:40pm – 3:55pm

As the political and social debates on the legalization of cannabis continue, financial institutions face a conundrum: whether and how to tap emerging business opportunities while avoiding potential liability in…

As the political and social debates on the legalization of cannabis continue, financial institutions face a conundrum: whether and how to tap emerging business opportunities while avoiding potential liability in the courts of law and public opinion.  Canada’s full legalization of cannabis in October 2018 added to the quagmire.  This panel will explore the challenges of navigating these issues — down in the weeds! — including establishing a risk appetite and control framework.

Participants

Catherine (Cathy) A. LaFalce, Brent P. Cohen, Satish M. Kini, Adrienne Kosta, Brian Walsh

Moderator

Catherine (Cathy) A. LaFalce

Managing Director and Global Head of AML Compliance Risk Management, Markets and Banking

Citi

Catherine (Cathy) A. LaFalce’s Biography

Panelists

Brent P. Cohen

U.S. Head of AML Compliance

RBC Capital Markets, LLC

Brent P. Cohen’s Biography

Adrienne Kosta

Vice President, Anti-Money Laundering Officer

Fidelity Investments

Adrienne Kosta’s Biography

Brian Walsh

Director, Anti-Money Laundering Officer and Chief Compliance Officer

Pershing Securities Canada Limited

Brian Walsh’s Biography

4:00pm – 4:00pm

Conference Adjourns

Venue

Grand Hyatt New York

109 East 42nd Street
New York, NY 10017

View on Google Maps

Experience spacious guestrooms, top dining and more at Grand Hyatt New York, centrally located in the heart of New York City, New York.

Picture of venue

Hotel Accommodations

SIFMA has reserved a block of rooms at the Grand Hyatt New York. Rates will start at $229 per night and are quoted exclusive of applicable room tax, applicable service/hotel-specific fees or other miscellaneous taxes.

Please make your booking through the following link: https://newyork.grand.hyatt.com/en/hotel/home.html?corp_id=G-BSMA and use the code (G-BSMA).

Please note that the group rates are good through January 12th, but rooms are limited and only available on a first-come, first-served basis–they may sell out early! Once the block is sold out, the hotel’s market price applies regardless of the date booking. Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.

Book a Room

Accreditation

ACAMS Credits
This program has been approved for 10 ACAMS credits. Certificates will be distributed to attendees on site.

CLE Credits
Pending approval.

CPE Credits
Eligible for up to 13.4 CPE Credits.

Fields of Study:
Finance – Technical: 13.4 credits
Auditing – Technical: 1.5 credits

Program Level: Intermediate
Delivery Method: Group Live
Advance Preparation: None

For more information regarding refund, complaint, and/or program cancellation policies, please contact SIFMA at [email protected].

CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org

Media

Policy
Select keynote speakers will be open to the media. View SIFMA’s official press policy. Please contact Katrina Cavalli at 212.313.1181 for more information.

Media Registration
Contact Evan Grogan at 212.313.1134

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.