Rating the Risks of High-Risk Clients
- When: November 16, 2016
- Time: 12:00 PM – 2:00 PM ET
- Level: Intermediate to Advanced
In a world of heightened regulatory expectations, massive penalties and risks associated with terrorist financing or politically exposed persons, the stakes have never been higher for properly managing higher-risk clients. At the same time, identifying and quantifying risk can be a subjective and challenging undertaking. In this webinar, industry veterans detail how to manage higher-risk clients with rigorous onboarding and account oversight procedures that serve your institutional goals while guarding against regulatory and reputational risk.
- Applying enterprise-wide risk assessment metrics to assure uniform standards on client risk ratings
- Conducting enhanced due diligence on high-risk clients to reveal all potential regulatory and legal issues
- Re-assessing high-risk accounts regularly to identify profile changes and adjust relationship as needed
Who Should Attend
- Compliance Officers
- Legal Advisors
- Risk Management Officers
- Latin America
- North America
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Alison Jimenez, CAMS
- Dynamic Securities Analytics, Inc.
Erik Vingelen, CAMS
- Vice President, Deputy BSA Officer, AML Manager, Financial Investigations Department
- Umpqua Bank
Sarah Beth Whetzel, CAMS, M.F.S.
- Palmera Banking Solutions