Achieving Compliance Efficiencies Amid Heightened Regulatory Scrutiny

Sponsored by

Attivio
  • When: July 19, 2016
  • Time: 12:00 PM – 1:00 PM ET
  • Level: All

While new regulatory frameworks have created serious challenges for compliance professionals in the last ten years, the recent uptick in enforcement actions changes the point of response for many compliance officers. In particular, regulatory supervisors are looking increasingly at appropriate staffing levels and levels of staff expertise. For institutions seeking to grow organically, this could lead to significant increases in staffing and training costs.

More than ever, institutions need ways to identify and build efficiency into their AML processes – linking systems and investigative professionals in ways that directly improve efficiency – without sacrificing investigative accuracy. This webinar will 1) characterize the increased enforcement risk facing financial service providers, 2) categorize the likely consequences for compliance professionals and the processes they follow, and 3) provide a clear framework for identifying opportunities to improve operational efficiency and accuracy.

Learning Objectives

  • Detailing increased scope and pace of enforcement actions to demonstrate institutional vulnerabilities
  • Scrutinizing growing regulatory demands to assess adequate resource levels for effective AML oversight
  • Applying a universal solution framework to gain AML efficiencies while meeting all regulatory standards

Who Should Attend

  • Compliance Personnel
  • Technology Officers
  • Industry Consultants
  • Banking
  • Technology
  • Regulatory Agencies

Moderator

Lee Phillips
  • Lee Phillips

  • Sr. Director, Product Marketing and Analyst Relations
  • Attivio

Speakers

Alison Jimenez
  • Alison Jimenez, CAMS

  • President/Founder
  • Dynamic Securities Analytics, Inc.

Orlando Lopez
  • Orlando Lopez

  • Principal
  • PwC

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