fostering a caribbean compliance...
TRANSCRIPT
Fosteringa CaribbeanComplianceCulture
Annual InternationalAML & Financial CrimeConference - Caribbean
EARN 13 CAMSCREDITS AT THECONFERENCE
Miami, Florida
December 9-10, 2019
acamsconferences.org/caribbean
CONFERENCE HIGHLIGHTS
2 acamsconferences.org/caribbean +1 [email protected]
Fosteringa CaribbeanComplianceCulture
Caribbean �nancial centres are caught in the rapid changes
transforming the compliance profession. Expertise in
innovations like arti�cial intelligence is fast becoming a
required skill, just as �nancial criminals are exploiting
advanced technologies to develop new methods of trafficking
drugs, laundering money or evading sanctions. It is essential
to keep abreast of AML innovations to better identify
applications that will meet speci�c institutional needs as well
as develop processes to ensure solutions match those
institutional requirements.
The ACAMS’ Caribbean Compliance Conference, Dec. 9–10
in Miami, offers two days of authoritative content—and
practical advice—that targets the unique AML challenges of
this vital region at a time of critical and complex changes.
What to Expect
25+Expert
Speakers
7+Networking
Hours
11+TrainingHours
Bene�tsof Attending
Real-Life Examples & Case Studies:
Examine what went wrong, and learn how to
develop strategies to safeguard your institution
against the same sorts of systemic compliance
failures.
Networking: An abundance of networking
opportunities will bring together Caribbean
professionals for contact creation, casual
conversation, and informal exchanging of ideas
and interests.
Relevant Content: Global issues such as
sanctions, risk models, correspondent banking
and drug trafficking are presented based on
what’s most pertinent to the Caribbean AFC
community.
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CONFERENCE HIGHLIGHTS
@acamsglobal @acams_aml acams acams@acams_aml
Who Attends
Top Sessions
Caribbean Focus:
Managing Sanctions Risks
with Comprehensive
Policies and Effective
Procedures
Hot Topics: Analyzing
the Latest Developments
and Trends Affecting
Caribbean Institutions
Obtaining and Maintaining
Correspondent Banking
Relationships
Fostering Cross-Jurisdictional
Collaboration to Prevent and
Investigate Financial Crime
Professionals responsible for:
• Reporting and SAR/STR Filing
• AML Risk Management
• Customer Due Diligence
• Transaction Monitoring and System Tuning
• AML Audits
• AML Training
• Sanctions Management
• New Product Compliance
• Managing Third-Party Payment
• Processors
• Law Enforcement
• Regulatory Oversight
Sectors/Industries:
• Accounting Firms
• Banks
• Casinos
• Consulting Firms
• Credit Unions
• Financial Services Providers
• Insurance Companies
• Law Enforcement Agencies
• Law Firms
• Money Services Businesses
• Regulatory Agencies
• Securities/Investment
• Software/Technology Providers
• Universities
• Virtual Currency
Become a Sponsor or Exhibitor at an ACAMS Event
Reach your target market and enhance your brand impact. For information on advertising and
sponsorship opportunities, contact [email protected].
Monday, December 9, 2019 Main Conference Day One
7:30 AM – 4:45 PM
7:30 AM – 5:45 PM
7:30 AM – 8:30 AM
8:30 AM – 8:40 AM
8:40 AM – 9:20 AM
9:20 AM – 10:20 AM
10:20 AM – 10:50 AM
10:50 AM – 11:50 AM
11:50 AM – 1:10 PM
1:10 PM – 2:10 PM
2:10 PM – 2:40 PM
2:40 PM – 3:40 PM
3:40 PM – 4:40 PM
4:40 PM – 4:45 PM
4:45 PM – 5:45 PM
Registration Desk Open
Exhibit Area Open
Networking Continental Breakfast in Exhibit Area
Welcome Remarks
Keynote Address and Q&A
PEPs Spotlight: Practical Protocols for Strengthening Anti-Bribery and -Corruption Oversight
Networking and Refreshment Break in Exhibit Area
Building Next-Generation Risk Models for Caribbean-Based Institutions
Networking Luncheon
Fostering Cross-Jurisdictional Collaboration to Prevent or Investigate Financial Crime
Networking and Refreshment Break in Exhibit Area
Moving Forward: Compliance Tech Strategies for Caribbean Anti-Financial Crime Managers
Tailoring Anti-TBML Protocols for Unique Caribbean Regional Risks
Closing Remarks
Networking Reception in Exhibit Area
AGENDA AT-A-GLANCE
4 acamsconferences.org/caribbean +1 [email protected]
7:30 AM – 4:45 PM
7:30 AM – 3:40 PM
7:30 AM –8:30 AM
8:30 AM – 8:40 AM
8:40 AM – 9:20 AM
9:20 AM – 10:20 AM
10:20 AM – 10:50 AM
10:50 AM – 11:50 AM
11:50 AM – 1:10 PM
1:10 PM – 2:10 PM
2:10 PM – 2:40 PM
2:40 PM – 3:40 PM
3:40 PM – 4:40 PM
4:40 PM – 4:45 PM
Registration Open Exhibit Area Open
Networking Continental Breakfast in Exhibit Area
Opening Remarks
ACAMS Special Presentation Beyond AFC Compliance: Disrupting the Finances of, and Leading the Fight Against, Human Trafficking
Combating the Scourge of Human Trafficking: Perspectives on Unique Caribbean Risks
Networking and Refreshment Break in Exhibit Area
Hot Topics: Analyzing the Latest Compliance Trends Affecting Caribbean Institutions
Networking Luncheon
Caribbean Focus: Managing Sanctions Risks with Comprehensive Policies and Effective Procedures
Networking and Refreshment Break in Exhibit Area
Obtaining and Maintaining Correspondent Banking Relationships
Retooling Anti-Financial Crime to Fight New Drug Trafficking Typologies
Closing Remarks
Tuesday, December 10, 2019Main Conference Day Two
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AGENDA AT-A-GLANCE
@acamsglobal @acams_aml acams acams@acams_aml
MAIN CONFERENCE DAY ONE
December 9, 2019 | 9:20 AM – 10:20 AMPEPs Spotlight: Practical Protocols for Strengthening Anti-Bribery and -Corruption Oversight
• Understanding relevant regulatory standards and guidance such as the UN Convention against Corruption (UNCAC) to create comprehensive oversight models that meet global expectations• Utilizing tools such as bene�cial ownership veri�cation, negative news searches and EDD to strengthen oversight of high-risk PEP clients and govern account exiting or retention decisions• Developing formal alert response processes to ensure red �ags are thoroughly investigated, rigorously analyzed and appropriate actions such as STR �lings are taken
December 9, 2019 | 10:50 AM – 11:50 AMBuilding Next-Generation Risk Models for Caribbean-Based Institutions
• Compiling comprehensive information such as entity pro�les, relevant regulatory requirements and jurisdictional risks to construct data-driven risk management models• Integrating tech tools such as data analytics and AI into risk management systems to strengthen screening, monitoring and case resolution efficiencies• Utilizing three lines of AML defense protocols to ensure business operations, independent risk control units and internal audit perform required compliance functions
December 9, 2019 | 1:10 PM – 2:10 PMFostering Cross-Jurisdictional Collaboration to Prevent or Investigate Financial Crime
• Identifying specializations and responsibilities of various cross-border law enforcement agencies to develop a multi-ju-risdictional strategy for collaboration• Developing internal protocols for information sharing to ensure uniform responses to �nancial crime such as tax evasion that meet data privacy and protection requirements• Cultivating communication channels with relevant compli-ance and criminal investigative authorities to ensure ongoing awareness of �nancial crime trends and typologies
December 9, 2019 | 2:40 PM – 4:40 PMMoving Forward: Compliance Tech Strategies for Caribbean Anti-Financial Crime Managers
• Differentiating IT innovations including arti�cial intelligence, data analytics and robotic process automation to identify applications that will meet speci�c institutional needs• Developing a vendor vetting process to ensure IT partners’ solutions match institutional tech needs and can successfully merge automated processes with legacy systems• Performing a post-installation technology audit to determine systemic efficacy, cost/ bene�t ratio and identify and rectify any remaining oversight gaps
December 9, 2019 | 3:40 PM – 4:40 PMTailoring Anti-TBML Protocols for Unique Caribbean Regional Risks
• Analyzing unique Caribbean TBML red �ags to mitigate risks linked to activities such as free zone abuses and unnecessar-ily complex transshipment and/or transactions• Reviewing TBML typologies such as buyer/seller collusion, rogue internal employees and shell corporations to create anti-TBML models that address speci�c institutional risks • Augmenting rules-based risk assessment and management with text and web analytics to strengthen anti-TBML controls and mitigate manual review errors
CONFERENCE PROGRAM
6 acamsconferences.org/caribbean +1 [email protected]
MAIN CONFERENCE DAY TWO
December 10, 2019 | 9:20 AM – 10:20 AMCombating the Scourge of Human Trafficking: Perspectives on Unique Caribbean Risks
• Differentiating forms of human trafficking such as migrant smuggling, sex slavery and forced labor to create oversight models that address unique regional and jurisdictional risks across the Caribbean • Detailing �nancial typologies involving human trafficking such as transactions indicating funnel account activity and transfers with at-risk jurisdictions to ensure red �ags are spotted and resolved• Honing anti-trafficking efficacy with prompt reporting of suspicious activity and partnering with law enforcement and NGOs to spur information sharing, leverage investigative resources and keep risk models current
December 10, 2019 | 10:50 AM – 11:50 AMHot Topics: Analyzing the Latest Compliance Trends Affecting Caribbean Institutions
Get ready to participate in this interactive session driven by input from the audience. Two weeks before the conference, attendees will be asked to submit questions to be addressed by a panel of experts. Whether the topic is recent anti-�nancial crime (AFC) trends or the growing role of arti�cial intelligence, ongoing issues with bene�cial ownership veri�cation or obtaining resources from senior management, the session will take on the latest, hottest topics and provide insights and practical advice for upping your compliance game.
December 10, 2019 | 1:10 PM – 2:10 PMCaribbean Focus: Managing Sanctions Risks with Comprehensive Policies and Effective Procedures
• Conducting risk-based ratings of entities posing greater threats of sanctions violations such as proscribed Cuban tourism to adjust oversight or relationship status as warranted • Creating robust sanctions oversight systems to ensure systems remain current in areas such as FATF recommendations and OFAC’s SDN List and mitigate regulatory risks • Training staff on sanctions evasion practices such as “dark” ships and dual-use goods sales to detect and resolve red �ags indicating concealment of prohibited transactions
December 10, 2019 | 2:40 PM – 3:40 PMObtaining and Maintaining Correspondent Banking Relationships
• Conducting an institutional risk assessment to document AFC/AML rigors and rectify systemic de�ciencies to facilitate acquisition of correspondent banking services• Mastering data analytics and AI to strengthen AML functions such as transaction monitoring to satisfy risk tolerance standards of correspondent account providers• Communicating regularly with correspondent banks to address changes in risk environments, address concerns and develop mutually bene�cial corrective actions
December 10, 2019 | 3:40 PM – 4:40 PMRetooling Anti-Financial Crime to Fight New Drug Trafficking Typologies
• Understanding the rise of direct-to-consumer narco distribution via Dark Web sales to adjust protocols for spotting new forms of drug trafficking organizations• Monitoring for suspicious activities including aberrant cryptocurrency usage to detect activities indicating potential narcotics transactional activities• Reviewing recent narcotics cases to outline Caribbean risk exposures, including narco funds routed through multiple jurisdictions to evade detection
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CONFERENCE PROGRAM
@acamsglobal @acams_aml acams acams@acams_aml
Conference Speaker
Kieran Beer, CAMS
Chief Analyst and Director
of Editorial Content
ACAMS
Ulrich De La Paz, CAMS
Manager Compliance FIU/EDDU
Maduro & Curiel’s Bank
Dwayne Baker, CAMS
Director, Financial Intelligence Unit
Turks and Caicos Islands
Toussant Boyce
Head, Office of Integrity,
Compliance and Accountability
Caribbean Development Bank
Candice Huggins
Chief Compliance Officer
CIBC First Caribbean
Gregg Fields, CAMS
Senior Copywriter
ACAMS
Juan Antonio Gonzalez, CAMS
First Assistant United States
Attorney
U.S. Attorney’s Office – Southern
District of Florida
Melissa Leeds, CAMS
Data Mitigation Support Specialist
Far Ridgeline Engagements LLC
Barbara A. Martinez
Chief, Special Prosecutions Human
Trafficking & Project Safe Childhood
Coordinator, SDFL
Miami U.S. Attorney’s Office
Marilú Jiménez, Esq., CAMS
Founder
Financial Intelligence Network
& Compliance Advisors
John J. Machin
Financial Intelligence Unit,
Head of Law Enforcement
Outreach Investigations
and Security,
Latin America and Caribbean
Region
Western Union
Rick McDonell
Former Executive Secretary
Financial Action Task Force (FATF)
Executive Director
ACAMS
Tanya C. McCartney, CAMS
Chief Executive Officer
and Executive Director
The Bahamas Financial
Services Board
Angela Mele, CAMS
Founder
RiskPass AML
+ Compliance Ltd.
CONFERENCE SPEAKERS
8 acamsconferences.org/caribbean +1 [email protected]
Jason Chorlins
CPA, Principal & Banking
Practice Leader,
Risk Advisory Services,
Kaufman Rossin & Co.
Roselle de Weever-Garcia, CAMS
Deputy Director Sector Policy,
International Affairs
& Financial Integrity
Centrale Bank van Curacao
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CONFERENCE SPEAKERS
@acamsglobal @acams_aml acams acams@acams_aml
Conference Speaker
Glenna Smith
Managing Director
Smith Compliance Consulting Inc
David West
Director
Police Complaints
Authority, Trinidad & Tobago
Gina Parlovecchio
Chief of International Narcotics
and Money Laundering
U.S. Attorney’s Office,
Eastern District of New York
John F. Tobon
Acting Special Agent in Charge
Homeland Security Investigations
Dr. John S. Zdanowicz
Professor Emeritus, College of Business
Florida International University
President
International Trade Alert, Inc
Cherise Wiltshire
Vice President, Compliance
& Ethics
Bitt
Ryan Pinder
Partner,
Graham Thompson
Roberto Valdez
Director,
Cybersecurity Automation,
Risk Advisory Services
Kaufman Rossin
John Roth
Chief Compliance
and Ethics Officer
Bittrex
Dawne Spicer
Executive Director
CFATF
Carmen Pagan
Director,
Corporate Compliance,
FirstBank Puerto Rico
Annual InternationalAML & Financial CrimeConference - Caribbean
A block of rooms at the Hyatt Regency Miami has been
reserved at a special rate for this event. The last day
to reserve rooms at the group rate is November 15,
2019, or until the room block is sold out. Due to the high
demand for rooms, we recommend that you book your
room reservation as early as possible.
acamsconferences.org/caribbean/#venue
Pricing and Offers
ENTERPRISE RATE
Special rates may be available for Enterprise Members.
PLEASE CONTACT
[email protected] REGISTER.
GROUP RATES
Special rates are available for groups of 3 or more.
FOR DETAILS, CONTACT:
Ilse Talgier+1 786.871.3019
MAIN CONFERENCE GOVERNMENT RATE
MAIN CONFERENCE ONLYMEMBER NON-MEMBER$995$1.295 $1.495