Institute for International Research

Opening Remarks from Conference Co-Chairs

Steve Zabuska, VP and AML Compliance Officer, LPL FINANCIAL SERVICES

Ellen Zimiles, CEO & Co-Founder, DAYLIGHT FORENSIC & ADVISORY

Opening Keynote Address:

Judith Gruenbaum, Compliance Director, Corporate AML, JPMORGAN CHASE

Regulatory Updates: Understanding the Latest Threats, Regulations, and Enforcement Strategies

Moderator:
Lisa Arquette, Associate Director for Anti-Money Laundering and Financial Crimes, FDIC

Panelists:

John Giantis, BSA/AML Compliance Specialist, OFFICE OF THE COMPTROLLER OF THE CURRENCY

Alma M. Angotti, Counsel , NASD

Michael Rufino, Senior VP, NEW YORK STOCK EXCHANGE

Les Joseph, Principal Deputy Chief- Asset Forfeiture & Money Laundering, US DEPARTMENT OF JUSTICE

Thomas D. Fleming, Assistant Director, Office of Regulatory Policy, Regulatory Policy and Programs Division, FINANCIAL CRIMES ENFORCEMENT NETWORK

Analyzing Section 312 Compliance Issues for Correspondent Accounts

Moderator:  Darren Donovan, Principal, KPMG

Panelists:
Meg Zucker, Executive Director, Anti-Money Laundering Group, MORGAN STANLEY

Jennet Zundel, Assistant District Administrator, SECURITIES AND EXCHANGE COMMISSION

Katherine Nelson, Director, Corporate and Investment Bank Group, AML Compliance for Capital Markets America, CITIBANK

Beverly Loew, Regulatory Policy Project Officer, FINCEN

Practical AML/BSA Compliance Strategies for Community and Regional Banks

Moderator: Steve Zabuska, VP & AML Compliance Officer, LPL FINANCIAL SERVICES

Panelists:
Lynn Sullivan, CAMS, SVP and BSA/AML Officer, UNION BANK OF CALIFORNIA

Ann Marie Wood, AML/BSA Officer, PACIFIC CAPITAL BANK, N.A.

Carmina Hughes, Executive Director, DAYLIGHT FORENSIC & ADVISORY

How MSBs are Mitigating Money Laundering Risks

Juan Llanos, Director of Compliance, UNIDOS FINANCIAL SERVICES INC.

Fabio Fernandez, AML Compliance Officer and Co-Founder, PRONTO MONEY TRANSFER

Kevin Favreau, Director of Agent Risk Management, AML Compliance Department, WESTERN UNION NORTH AMERICA

The Challenges of Global Compliance Across Multinational Jurisdictions

Panelists:
Stephanie Lowy, VP & Project Manager, AML Unit, SMITH BARNEY

Wendy Warren, CEO and Executive Director, BAHAMAS FINANCIAL SERVICES BOARD

Deborah Taub, Director, AML Compliance, Canadian Personal and Business Banking, ROYAL BANK OF CANADA

Conference Day 1 Concludes