AML Audits: Does Your Compliance Program Make the Grade? (Audio / Visual CD-ROM)
One of the keys to maintaining an effective compliance program is by constantly monitoring its performance and evaluating its success. By conducting ongoing internal audits of anti-money laundering programs, financial institutions can help prevent serious issues of noncompliance before a regulator spots them. Coupled with an outside independent review, such self-assessments can address and mend problems before they spiral out of control. Learn how to critique your compliance program, identify problem areas and find solutions to help rectify deficiencies—all before the examiners arrive.
The Experts:
Megan Davis Hodge, CAMS
Megan Davis Hodge is currently the Director of Anti-Money Laundering and BSA Officer for RBC Centura Bank, headquartered in Raleigh, NC. In this role, Megan has responsibility for BSA, PATRIOT Act, and OFAC regulations for the Bank and subsidiaries. Prior to joining RBC Centura, Megan was employed by Bank of America, where she held multiple positions developing and implementing AML strategies. Her roles included leading the AML Strategy and Support team, providing subject matter expertise for the AML Program Office and managing the Corporate Anti-Money Laundering Enhancements program. Previously Megan was a Consultant with Accenture (formerly Andersen Consulting), where she specialized in project management and process reengineering for the Financial Services industry.
Ian Mackenzie
Ian Mackenzie is Senior Audit Manager for RBC Centura Bank, headquartered in Raleigh, NC. He has been in Internal Audit for eight years, four of which were spent in Toronto. Prior to joining RBC Financial Group’s Internal Audit group, he held various positions in RBC in Puerto Rico, the Bahamas, Dominican Republic, Miami, Los Angeles and Toronto. His audit experience includes branches, back-office functions, retail, business and commercial credit, risk management and, of course, anti-money laundering. In the past eighteen months, Ian’s audit team has done extensive anti-money laundering testing, and worked closely with the Compliance group to strengthen RBC Centura’s anti-money laundering program.
Recorded: July 19, 2006
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