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.

Learning Objectives

  • 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
  • Consultants
  • Risk Management Officers

Region/Sector

  • Global
  • Africa
  • Asia-Pacific
  • Caribbean
  • Europe
  • Latin America
  • MENA
  • North America
  • Banks
  • Securities

Pricing

ACAMS Members Non-Members
$195 $295
Register Now Join ACAMS

Moderator

Alison Jimenez
  • Alison Jimenez, CAMS

  • President/Founder
  • Dynamic Securities Analytics, Inc.

Speakers

Jason Chorlins
  • Jason Chorlins, CPA, CFE, CAMS

  • Principal
  • Kaufman Rossin

Erik Vingelen
  • Erik Vingelen, CAMS

  • Vice President, Deputy BSA Officer, AML Manager, Financial Investigations Department
  • Umpqua Bank