Seminar on Managing an Effective AML Compliance Program

Venue: Phoenix, AZ

Location: Phoenix, AZ, Arizona, United States

Event Date/Time: Dec 05, 2013 / 8:30 am - (PST) End Date/Time: Dec 06, 2013 / 5:00 pm - (PST)
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Managing an Effective AML Compliance Program To be held on 5th to 6th Dec 2013 at Phoenix, AZ Course Description: 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 are 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 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 For more information kindly visit : Or Contact us at : Company Profiles And Conferences Mob +919223375060 / 919223767111 Fax : +91 22 27810778 E-mail : Website :


Phoenix, AZ
Phoenix, AZ
Phoenix, AZ
United States

Conference Speakers

KEY SPEAKER Laura H. Goldzung is President and Founder of AML Audit Services, LLC, an anti-money laundering and fraud consultancy specializing in independent testing and compliance consulting services to financial and nonbank financial institutions. Mrs. Goldzung’s expertise include domestic and international training, design and development of BSA/AML compliance programs, risk assessment and analysis, remediation and corrective action programs, expert witness testimony, and CFPB compliance benchmark assessments. She has worked with institutions that have been referred to enforcement for BSA/AML violations, helping them to bring their AML programs into compliance. In her more than 25 year career in the financial services industry, she has worked in a variety of executive roles, most notably as vice president and managing director at the Securities Industry Association where she assisted member-firms in coordinating the implementation of the Patriot Act and the development of AML training. In prior years, she served in executive management roles in the broker-dealer sector. Operating from offices in the historic Morristown, New Jersey area, she serves as an industry arbitrator for FINRA Dispute Resolution and is active with several industry groups including the Association of Certified AML Specialists, SIFMA’s Compliance & Legal and Internal Audit Societies, Association of Certified Fraud Examiners, National Society of Compliance Professionals, to name a few. She services on a variety of industry task forces and committees, and is faculty for a number of industry education programs. She is a frequent speaker and contributor on the topic of anti-money laundering and fraud.