• Reviewing recent enforcement actions such as OCC’s penalties for “heightened standards” violations to understand effects of emerging regulatory expectations on auditing

• Detailing the essential elements of a heightened standards audit regimen to ensure risk management programs are consistent with evolving regulatory priorities and requirements

• Utilizing audit results to identify institutional risks of breaching shifting regulatory expectations and develop and implement systemic fixes as warranted across enterprise

Moderator:

Peter D. Wild, CAMS-Audit, Founder,Wild AML Solutions

Presenters:

Lindsay M. Dastrup, CAMS-Audit, CAMS-FCI, Vice President, Audit Leader, American Express

Khalid Hossain, CAMS, Audit Director – Global Financial Crime Prevention Audit, UBS

Paulette Mullings, Chief, Audit Executive, BNY Mellon

Kate Valleau, CAMS, Senior Vice President, Internal Audit, Raymond James