Identifying and Disrupting Funding Streams to Thwart Terrorist Financing and Organized Criminal Operations

Dennis Lormel, IPSA INTERNATIONAL

Identifying and Integrating Effective Compliance Approaches for Managing Open and Closed-End Funds

William Tesler, VP and AML Compliance Officer,
BNY CONVERGEX GROUP LLC

Jason Vazquez, VP, Head of AML Compliance, and AML Compliance Officer, DWS SCUDDER FUNDS, DEUTSCHE ASSET MANAGEMENT

Developing Compliance Strategies to Satisfy AML, BSA and FCPA Regulations

Ellen Zimiles, CEO, DAYLIGHT FORENSIC

Procedures for Regulatory Compliance with Dealing with Regulations for Money Service Businesses and Prepaid Cards

David Landsman, Executive Director, NATIONAL MONEY TRANSMITTERS ASSOCIATION

Juan Llanos, UNIDOS FINANCIAL SERVICES

Ross Crumlish, VP, AML/BSA Compliance, CHEVY CHASE BANK

Creating an In-House Financial Intelligence Unit to Serve AML and Fraud Departments

Kevin Favreau, JD, CAMS, Vice President - Global AML Compliance, Financial Intelligence Unit, AML Compliance Department, WESTERN UNION NORTH AMERICA

SPOTLIGHT: The AMLAC & Fraud Forum True New York Story: Craig Gile

To all who know him, Craig Gile had it all. Honor student and captain of the basketball team in high school. Prestigious degrees from Vanderbilt and Wharton. A decorated veteran of the first GulfWar. A successful and lucrative career as a commodities trader at Citigroup. And, most importantly, an idyllic home life on the Connecticut shore with his wife and three young boys, often spent coaching Little League and hosting backyard barbecues.

That all changed in August of 2007, when Mr. Gile began serving his one year and one day prison sentence in a federal prison in Jesup, GA, after pleading guilty in US District Court in Manhattan to one count of conspiracy to falsify bank records and commit wire fraud, when he was the head of American sales and trading at the commodities desk at Citigroup. Prosecutors accused Gile of overstating the value and understating the risk of their trading positions in the energy-based derivatives in order increase the group’s profits, effectively increasing his year-end bonus.

After having served his time at a prison that was decidedly not Club Fed – his home was a cinderblock building with triple-bunk beds, six toilets and seven showers for 78 men –- Gile will join us to discuss how he became involved in the fraudulent activity, explain how the situation escalated into him pleading guilty, and delve into how serving time has helped him take responsibility for his actions and guiding his outlook on life. Immediately following his remarks, Gile will take questions from the audience.

Peer Roundtables: Discussing the Most Common Suspicious Activities and How Other AML and Fraud Officers Overcome Challenges

In this session, you’ll have the opportunity to discuss the various types of suspicious activity you’ve seen over the past year with your colleagues, and then discuss how you’ve handled the identification and issue escalation process. Small discussion groups will be led by industry AML officers from banks, broker/dealers, mutual funds, insurance companies and MSBs to allow participants to hear how their peers are handling compliance challenges. You are free to choose from any group.

Incorporating Effective Compliance Strategies for Community and Regional Financial Institutions

Emily Borowski, AVP Risk & Compliance, NOTRE DAME FEDERAL CREDIT UNION

Stuart Davis, AML/Fraud Executive, USAA

Techniques for Integrating Risk-Based Rules within Transaction Monitoring Systems

Moderator:
Darren J. Donovan, National Forensic Banking & Finance Industry Leader, KPMG FORENSIC

Jack Sonnenschein, Managing Director and Global Head of AML Audit, BANK OF NEW YORK MELLON

Heli Leesment, Director of Anti-Money Laundering Compliance, RBC FINANCIAL GROUP

Lessons Learned from Industry Case Studies

Steve Helmstetter, IRS CI

Rachel Rojas, Special Agent, FBI

PROVEN TECHNIQUES FOR DEMONSTRATING YOUR AML COMPLIANCE PROGRAM’S EFFECTIVENESS

Valerie Towery, Director, Special Projects, Global Anti-Money Laundering Compliance & Counter Terrorist Financing, WESTERN UNION