AML/CTF Analyst under Central Risk and Insurance Management Services Ltd
Lunch & Learn Event
This Lunch & Learn Event, sponsored by the ACAMS Toronto & GTA Chapter is a discussion two prevalent topics in the current AML environment:
- AML Model Validation: With the increase in the variety and functionality of AML systems, rules, and models, as well as the increasing number of institutions using these systems, has heightened regulatory awareness of model risk management. A common area of focus from regulator examinations is the concept of sound model risk management and whether an institution has a clearly documented approach and consistent methodology to model risk management and validation. This session will cover RBC's approach to implementing key aspects of the OCC's Supervisory Guidance on Model Risk Management, as well as the basis for developing a model risk validation framework that can be applied in the context of AML 'models'.
Meera Das, Manager AML Model Validation, RBC AML Compliance
- Legislative Compliance Management (LCM): LCM is often viewed as a large documentation exercise especially for a global organization. This session will discuss the key components of how LCM can be incorporated into an integrated AML Compliance risk and control assessment model that will form the foundation of a robust CAMLO Oversight Testing program.
Caroline Harduwar, Director AML Governance and Oversight, RBC AML Compliance
Karen Irwin, Regulatory Compliance Consultant with RBC AML Compliance
Date: February 14, 2014
Time: 11:30 am to 1:30 pm
Registration begins at 10:30 am
A light lunch will be served
Place: 315 Front Street West, Toronto (Atrium A & B)
Cost: $25.00 for ACAMS Toronto & GTA Members -
$50.00 for Non Chapter Members
CAMS Credits: 2
ADVANCED FINANCIAL CRIME INVESTIGATIVE TECHNIQUES
Date: Monday, February 24, 2014
ALERT Edmonton Region & ACAMS is pleased to continue its series of Anti-Money Laundering
(AML) and Proceeds of Crime (POC) modular training sessions. The training is specifically intended
for investigators assigned to general investigation sections, gang and organized crime, economic
crime, and vice units. This presentation is open to all Alberta police officers, civilian anti-money
laundering specialists, and prosecutors. Registration is only accepted through ACAMS and requires
pre-payment in US funds. There is a fee of $40 for ACAMS members and $50 for non ACAMS
members to attend this event. The fee includes refreshments and lunch.
Time: 8:00 AM to 4:00 PM
Location: ALERT West Campus in ASLET Classroom 2
18807 Stony Plain Road, Edmonton, Alberta, Canada
Accomodations: Marriott Courtyard Edmonton West 10011 184 St., Edmonton, AB, Canada
Phone: 780-638-6070 (Rate $144 per nite - Ask for the ALERT Rate) Toll Free 1-888-638-6070
Canada Chapter Members: $ 40.00**
Non-Chapter Members: $ 50.00**
Event is capped at 80 participants.
Topic: Advanced Financial Crime Investigative Techniques
Presented by Mr. Mike Ryan, Senior Associate with Toddington International Inc. Joining the RCMP in 1976 Mr. Ryan began developing his expertise in money laundering and proceeds of crime early in his career. Mr. Ryan has conducted, supervised, and managed money laundering and proceeds of crime investigations involving the United States, the Caribbean, Europe, South East Asia and the Middle East resulting in over $70 million in forfeitures.
Topics covered will include:
This presentation is co-hosted by the Edmonton Chapter of the Association of Certified Anti-Money
Laundering Specialists (ACAMS). CAMS continuing professional education (CPE) credits will be provided
for ACAMS members.
- Introduction of an expanded and applicable money laundering model
- Explanation of a model of predictive indicators of money laundering
- Identifying the money launderer's economic unit including nominee network
- Application of open source research techniques
- The proliferation of cyber-money (Bitcoin) as a tool for laundering money
- Case studies
Please, see PDF for additional details.
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Garry Clement, CAMS
White-Collar Consultants & Investigative
Garry started White-Collar Investigations and Consultant's Group in April 2009 following a period in IPSA International's Toronto Office as Managing Director commencing in 2007. Prior to joining IPSA, Garry established thirty years of policing experience with the Royal Canadian Mounted Police (RCMP) in a range of investigative matters and management roles, and four years as the Chief of Police for Cobourg. He retired from the RCMP holding the national position of Director, Proceeds of Crime. Garry is an internationally recognized expert in the areas of money laundering, detection of suspicious activity and currency reporting. During his tenure in the RCMP, he worked in the areas of proceeds of crime and money laundering as an investigator, undercover operator and manager. Additionally, he served as a Liaison Officer in Hong Kong, where he worked with law enforcement in the Asia- Pacific area dealing with counterfeiting, fraud and money laundering. Garry is a former member of the ACAMS Advisory Board.
Karim Rajwani, CAMS
RBC Financial Group
Karim is currently the Vice-President and Chief Anti-Money Laundering Officer for the RBC Financial Group (RBC) and is responsible for leading RBC's Anti-Money Laundering, Anti-Terrorism and client risk management initiatives globally. Karim has more than 20 years of risk management, compliance and financial accounting experience. Karim is a leading authority on anti-money laundering and counter-terrorist financing matters both domestically and internationally and speaks frequently on these matters in banking, legal, compliance and academic platforms including for US Treasury/Middle East/North African Bankers as well as for The Financial Services Volunteer Corps. Karim is also a member of the Advisory Council on National Security for the Office of the Prime Minister of Canada.
As Chief Anti-Money Laundering Officer, Karim has overseen the development and implementation of RBC's AML/CTF program from its inception. Over the past 10 years under Karim's direction RBC has developed and implemented numerous AML/CTF solutions globally.
Prior to taking on his current role with RBC, Karim held various management positions focused on risk management, internal controls, Operational risk and IT development. In addition to his risk management experience, Karim has worked for various Financial Institutions, Chartered Accounting and Management Consulting firms. In these roles he has overseen the implementation of a number of enterprise-wide risk management and compliance initiatives.
Karim has a double honors degree in Accounting and Finance and is a member of the Institute of Chartered accountant in Canada as well as in England and Wales.
Rosalind Laruccia, Senior Manager, Global Economic Sanctions & Embassies
Royal Bank of Canada (RBC)
Rosalind is a Senior Manager with RBC Global AML Compliance managing the Global Sanctions Group. She has 13 years of experience in risk management, internal audit, AML, and Corporate Compliance in Canada, the U.S., and the E.U. in both the telecommunications and financial services industry. Rosalind's roles have included investigations, auditing, risk management and control, training, money laundering/counter-terrorism financing and global economic sanctions.
At RBC, Rosalind provides Global Economic Sanctions guidance across the bank in addition utilizing her audit knowledge in assisting the AML Compliance group with policy and other control related activities. As Senior Manager she is responsible for the development and implementation of a consistent Global Economic Sanctions program as well as to ensure the bank's compliance with sanctions requirements within the jurisdictions that RBC operates.
Kenneth H. Saul, B.A., LL.B., CAMS
Cambridge Mercantile Group
Kenneth has been a lawyer in Ontario since 1973, General Counsel to the Cambridge group of companies since 2002, he also heads up the Cambridge Group's Compliance Department. Professional Member of ACAMS and certified as a CAMS since 2004, Ken was also a member of the Steering Committee of the new Canadian Anti-Money Laundering Institute (CAMLI) and has been a Board member of the Canadian Association of Money Service Providers (CAMSP). He is a frequent speaker at conferences on anti-money laundering and counter-terrorist financing compliance topics.
Jennifer Fiddian-Green CAMS
Grant Thornton LLP
Jennifer is a Partner at Grant Thornton LLP in Toronto. She is a CICA qualified investigation and forensic accountant and is an anti-money laundering ("AML") specialist.
Jennifer has worked with different industry groups to determine the nature of transactions suspicious of money laundering and methods to identify and make determinations on these transactions. Jennifer has also assisted clients in determining the impact on operations and corporate governance of the legislation, this has included identifying and understanding risks, policy decisions, development of procedures, employee training and the implementation of compliance programs. She participated in consultations with Canada's Department of Finance and FINTRAC in regards to the development and interpretation of the regulations for the PCMLTFA and compliance expectations.
Jennifer regularly provides consulting and compliance review services to financial institution organizations and money services businesses.
Larry Masci , CAMS
Ontario Securities Commission
Larry Masci has been an investigator with the Enforcement Branch of the Ontario Securities Commission (OSC) for the past 19 years.
He has a Bachelor of Arts in Sociology from York University and Certificates in Criminology and Management in Law Enforcement from the University of Toronto. He completed the CSI Branch Managers Course, the Canadian Securities Course, Futures Examination Course, and received the Anti-money Laundering Certificate from The Canadian Securities Institute. He also earned a Certificate in Fraud Investigation, Level 1 and 2 awarded by the Ontario Police College.
Masci has given numerous presentations to consumer groups and law enforcement agencies about fraud in the capital markets. He is a Certified Fraud Examiner and a member of the Association of Certified Anti-money Laundering Specialists.
He began his career began as an investigator with Revenue Canada, Customs. He directed and was involved investigating fraudulent import invoices. After leaving Revenue Canada he was employed with Industry Canada (The Government of Canada) as a consumer fraud investigator. He was instrumental in creating and developing the fraud unit within the Department.
He was promoted to the Bureau of Competition Policy as an investigator. In his role he investigated consumer frauds. Appointed Acting Manager to assist junior investigators in developing investigations.
He joined the OSC as an investigator in 1988. At his present position he investigates frauds and money laundering within the capital markets. He was seconded to the Royal Canadian Mounted Police (Combined Forces Special Enforcement Unit) in June 2001 to investigate frauds and money laundering in the markets by organized crime.
He has conducted numerous fraud investigations which involve international jurisdictions. He has become an expert in investigating Prime Bank Instrument Schemes and Ponzi's. He has given numerous presentations to Rotary clubs, Ontario Provincial Police-Anti-Rackets Branch, High Schools, Probus Clubs and other consumer groups on how fraudsters use the capital markets.
Carmelo DiMauro, CAMS
Carmelo is a Director in the Scotiabank Group Compliance – Anti-Money Laundering Unit. He is responsible for development of risk assessment programs, policies, standards guidance and training programs for the Scotiabank Group in some 50 countries. Carmelo played an instrumental role in the creation and publication of the AML Handbook, which sets out Scotiabank's AML/CTF standards that are applied enterprise-wide.
With over 30 years in banking, Carmelo has acquired considerable knowledge and expertise in a broad range of banking functions, including a thorough understanding of business process reengineering, operations risk management, trading systems / processing, compliance and control routines. He has held a variety of progressively senior management roles in internal audit, banking operations, investment and wholesale operations and most recently, the AML Unit.
Carmelo is CAMS certified and a member of the Association of Certified Anti-Money Laundering Specialists (ACAMS). He is also a member of the Canadian Bankers Association Anti-Money Laundering Working Group. He holds a Bachelor of Commerce (double major) degree in Business Administration and Accounting from Concordia University in Montreal.
TD Bank Financial Group
Sharon joined the Global AML Compliance group in July 2006 as a Senior Compliance Officer to assist in building a comprehensive AML program. In 2010 she was promoted to Senior Manager of their Global Anti-Money Laundering department. In her current role, Sharon provides subject matter expertise on regulatory changes and AML trends in the industry, as well as maintains relationships with regulators, key business partners, and business-line contacts within TDBFG Globally. Sharon is also responsible for developing the AML Training Program and Risk Assessment / Self Assessment methodology within the TDBFG enterprise. Sharon has more than 20 years of banking experience. Prior to joining Global AML Compliance in July 2006, Sharon worked in various roles within TDBFG related to operations and project management. Sharon has earned her Marketing and Sales and Marketing and Sales Specialist Certificates from Sheridan College, Institute of Technology and Advanced Learning. In 2007, Sharon received TDBFG's 'Vision in Action' Award, the highest award for TD Bank Group employees. . Sharon is also a Certified Anti-Money Laundering Specialist (CAMS) designation from the Association of Certified Anti-Money Laundering Specialists).
Richard Hogeveen C.A., C.P.A.
Richard is the Chief AML Officer responsible for Manulife Financial's AML/ATF program including oversight and coordination of AML efforts in over 22 countries and territories globally. The Company operates in Canada and Asia through the brand name "Manulife Financial" and in the United States primarily through the brand name "John Hancock". Richard is the Chair of Manulife's global AML/ATF Steering Committee and has been working in this area for over 5 years in both the Company's Treasury and Global Compliance groups. In addition, he has overall accountability for the Company's Regulatory Risk Management and Enterprise Code of Conduct and Records Management programs working closely with compliance officers across the company.
Richard has been with Manulife Financial for over 15 years, based in its head office in Toronto. Prior to his role in the Global Compliance Office, he worked in finance roles in a number of areas within Manulife including Corporate Treasury, Reinsurance and U.S. Divisions where his responsibilities included managing the John Hancock retained asset program with over 25,000 customers and $900 million of deposits , business process re-engineering and financial reporting. Before joining Manulife, he articled and worked for a number of years at KPMG in Canada and Switzerland. Richard is both a Chartered Accountant (Canada) and a Certified Public Accountant (Illinois). Outside of work, he is an avid sports fan, musician and personal "valet" to three daughters.
Mario Possamai, CAMS, CFE, CPP
Royal Bank of Canada
Mario Possamai, CAMS, CFE, CPP, is Senior Manager, Corporate Intelligence, Corporate Investigation Services (CIS), Royal Bank of Canada. The Departmental Anti-Money Laundering Officer (DAMLO) at CIS, Mario has spent nearly two decades in the fields of fraud investigation, AML, security consulting and compliance. From 2003 to n2007, he served as Senior Advisor to the Commissioner of the SARS Commission, the judicial inquiry into the SARS outbreak in Ontario. He has written and co-authored numerous articles for various industry publications, including "ACAMS Today," in addition to providing training and presentations to law enforcement in Canada and the United States.
Canadian Chapter Working Group Leaders
Leanne McGrath, CAMS
Senior Manager, Due Diligence, Audit Services
Compliance and Social Responsibility
Cheryl Prior, CFE
Senior Manager - Corporate Security
Canadian Western Bank