Ethical Behavior, Financial Integrity and Governance Challenges in Sales Incentive Driven Environments

  • When: January 30, 2018
  • Time: 12:00 PM – 2:00 PM ET
  • Levels: All

Recent record-breaking enforcement actions have created a new pressure for compliance professionals to maintain regulatory and ethical standards with regard to their financial institutions’ sales and incentives practices. During this webinar, professionals will detail the fundamentals for building a culture of compliance in a sales driven environment and provide practical strategies for balancing ethical, professional, regulatory and institutional interests.

Learning Objectives

  • Defining how ethical behavior, financial integrity and governance challenges relate to AML
  • Reviewing lessons-learned from recent high-profile cases regarding improper sales and incentives practices
  • Developing programs that bolster an ethics and compliance culture including a focus on “tone at the top” and a centralized corporate structure
  • Analyzing case studies referencing the G20/OECD Principles of Corporate Governance

Who Should Attend

  • Compliance Officers
  • Senior Management
  • Risk Managers
  • Industry Consultants

Region/Industry

  • Global
  • North America
  • Bank
  • Securities
  • MSB

Pricing

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

Moderator

John J. Byrne
  • John J. Byrne, Esq., CAMS

  • President
  • Condor Consulting LLC

Bio

John is Executive Vice President of the Association of Certified Anti-Money Laundering Specialists (ACAMS), a global organization with over 46,000 members. Byrne is an internationally known regulatory and legislative attorney and one of the leading AML community voices for over 30 years.  He has experience in a vast array of financial service related issues, with particular expertise in regulatory oversight, policy and governance, anti-money laundering (AML), privacy and terrorist financing. He has written over 100 articles and blogs on AML, financial crime and privacy; represented the financial sector in this area before the United States Congress, state legislatures and international bodies such as the Financial Action Task Force (FATF); and appeared on CNN, Good Morning America, the Today Show, and many other media outlets.

John has received a number of awards, including the Director’s Medal for Exceptional Service from the US Treasury Department’s Financial Crimes Enforcement Network (FinCEN) and the American Bankers Association’s (ABA) Distinguished Service Award for his career work in the compliance field. His podcast, “AML Now” (on ITunes) received a 2017 Communicator Award for hosting from the Academy of Interactive and Visual Arts. John’s blog on AML and Fraud (found at http://www.bankingexchange.com/) received a Gold Hermes Award in 2016. He is also on Twitter @jbacams2011.

Speaker

Jeffrey Kelly
  • Daniel Soto

  • Chief Compliance Officer
  • Ally Financial Inc