Utilizing Alert Scenarios, AML Models and Public-Private Partnerships to Combat Human Trafficking and Migrant Smuggling

  • When: June 14, 2019
  • Time: 10:00AM – 11:00AM HKT
  • Level: All

According to the International Labour Organization, more than 11 million people in the APAC region are victims of forced labor, accounting for well over half of the global estimated number of 21 million victims. It is incumbent that compliance professionals in the APAC region remain vigilant in spotting and blocking illicit earnings laundered through the financial system in order to combat migrant smuggling, sex trafficking and forced labor. During this engaging webinar, our panelists will examine typologies and common criminal behaviors related to these financial crimes, and develop strategies to establish public-private partnerships to gain insights into human trafficking/smuggling trends most relevant to specific institutions and markets.

Learning Objectives

  • Examining institutional risks related to human trafficking and migrant smuggling to improve detection scenarios and tailor effective monitoring models
  • Training staff on trafficking and smuggling typologies such as frequent wire transfers from higher risk jurisdictions to strengthen red flag detection and resolution
  • Facilitating information sharing through public-private partnerships to leverage investigative resources and keep current on trends

Who Should Attend

  • Law Enforcement
  • Compliance Officers
  • FIU/FCC Team Members
  • Internal Investigation Personnel

Region/Industry

  • APAC
  • Global
  • Bank
  • Law Enforcement

Register for this Webinar

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Moderator

William Scott Grob
  • Dr. William Scott Grob, CAMS-FCI

  • AML Director – APAC
  • ACAMS

Bio

Dr. Grob has over 25 years of financial and banking expertise. His most recent role was as Regional Head of Affiliates Management, HSBC, where he worked on mitigating financial crime and correspondent banking risks across Asia. His 12-year career at the bank also included managing risk within the Equity/FX prime brokerage business, Structured Funds business, and Hedge Fund units.

Dr. Grob earned a Bachelor’s degree from Boston University, a Master of Arts from George Mason University, a certificate from Harvard Business School’s General Management Program, and a Doctorate of Management from SMC University (USA), where his dissertation was focused on correspondent banking- “IMPACT OF CORRESPONDENT BANK ENHANCED DUE DILIGENCE PRACTICES.” Also, he has designations from the Chartered Alternative Investment Analyst (CAIA) Association, and Global Association of Risk Professionals (FRM).

Speakers

Rod Francis
  • Rod Francis

  • Senior Managing Director
  • FTI Consulting (Hong Kong) Ltd

Bio | 简介

Mr. Francis is a Compliance professional with a career in the financial services industry spanning 30 years. For the last eleven years Mr. Francis has been based in Hong Kong covering the Asia Pacific (APAC) region and prior to this in London covering Europe, Middle East and Africa (EMEA). He currently works for FTI Consulting (Hong Kong) Limited and joined in December 2018 to create and lead their Financial Crime Compliance (FCC) practice for the APAC region. Prior to joining FTI Mr. Francis was Citibank’s APAC Anti-Money Laundering (AML) Compliance Head for eight years (between 2010 and 2018). This role also encompassed responsibility for AML Compliance for the Global Consumer Bank for Europe, Middle East and Africa (EMEA). In APAC Mr. Francis also worked for UBS (between 2007 and 2010) where he held a number of senior management positions including APAC Head of Central Compliance and the Global Head of Regulatory Reporting and APAC Head of AML and Sanctions Compliance. Prior to 2007 Mr. Francis was based in London covering the EMEA region working for tier one banks. Amongst Compliance roles for Financial Institutions, Mr. Francis was the EMEA Regional Head of AML and Sanctions for both Credit Suisse and Morgan Stanley, incorporating Central Compliance and Operations Compliance for each respectively.

Mr. Francis has a broad in-depth knowledge and experience in all aspects of AML, Sanctions and Anti-Bribery Compliance, is a member of ACAMS, the Director of Membership and Board Member of the Hong Kong Chapter of ACAMS. Mr. Francis regularly speaks at industry events including ACAMS seminars.


Archana Kotecha
  • Archana Kotecha

  • Asia Region Director and Head of Legal
  • Liberty Shared

Bio

Ms. Archana Kotecha is a counter-trafficking expert and activist with extensive experience in the areas of advocacy, policy work and casework relating to trafficking in persons. Ms. Kotecha is a UK qualified barrister and London School of Economics graduate who started her career practicing corporate law with KPMG then with DLA Piper. After seven years as a corporate lawyer, Ms. Kotecha joined the UN Refugee Agency's Legal Protection Team in London and subsequently the Immigration Advisory Service and Stop Trafficking UK in London. She has worked on a number of trafficking-related asylum cases and produced an anti-trafficking toolkit for UK lawyers. She has served on the Victim Care Committee of the UK Human Trafficking Centre that was instrumental in setting up the National Referral Mechanism of the UK in 2009. She was also a committee member of the NSPCC’s anti-trafficking hotline and contributed to a number of anti-trafficking and refugee stakeholder groups in the UK.

Following a move to Hong Kong, Ms. Kotecha has joined Liberty Asia as Head of Legal. Since joining Liberty Asia, Ms. Kotecha has produced a Hong Kong focused Victim Identification Toolkit/NGO training, set up an online Legal Resources Centre (housed on Liberty Asia’s website) and been involved in lobbying at the Legislative Council level and advising human rights practitioners and governments on trafficking in persons. Ms. Kotecha is also responsible for running regional legal projects including a multi-jurisdictional legal gap analysis that aims to highlight gaps between national laws and international standards. Disrupting activities’ of traffickers by improving human trafficking’s visibility within financial institutions, educating NGOs and lawyers on anti-trafficking legal frameworks and victim identification are also key aspects of Ms. Kotecha’s work.

Ms. Kotecha’s work with Liberty Asia has also involved extensive engagement with financial institutions, regulators and other corporations to improving human rights due to diligence processes that highlight human rights-related risks and liabilities. Also, Ms. Kotecha has been focusing on the engagement of anti-money laundering frameworks and existing risk structures within these institutions to identify and disrupt human trafficking networks. In June 2017, Ms. Kotecha was named as one of the top ten innovative lawyers in Asia Pacific by the Financial Times Asia and she is also an alumni of the prestigious International Visitor Leadership Program run by the US Department of State.


Nicholas Turner
  • Nicholas Turner, CAMS

  • Attorney – FCC Practice
  • Clifford Chance

Bio

Mr. Turner is an attorney in Clifford Chance’s Hong Kong office, where he specializes in financial crimes advisory including economic sanctions and anti-money laundering compliance for the financial services sector. Mr. Turner is admitted to practice law in New York. He previously was a Senior Vice President for regional sanctions compliance at Citi Hong Kong and a Compliance Management Associate for Citi in New York and Los Angeles.

Mr. Turner’s financial crimes compliance experience in North America and Asia includes the trade finance, institutional, capital markets, and retail banking sectors, for both US and non-US financial institutions and corporate clients. He has conducted sanctions compliance training seminars in the United States and Asia. His recent publications include “The Financial Action Task Force: International Regulatory Convergence Through Soft Law,” published in the New York Law School Law Review, in 2015, and “Regulation E: Compliance Challenges under the CFPB’s Remittance Transfer Rule,” published in the Journal of Taxation and Regulation of Financial Institutions, in 2013.