Building, Implementing and Maintaining an Effective Quality Assurance Testing Program

  • When: August 28, 2019
  • Time: 12PM – 2PM ET
  • Level: Intermediate to Advanced

Testing the effectiveness of your anti-financial crime (AFC) controls requires a continuous approach, including identifying deficiencies and bridging gaps between operations and compliance. From executing reviews, identifying weaknesses and engaging with senior management to validate that corrective actions have been properly taken. This webinar’s expert panelists will detail best practices for your AFC quality assurance testing program that will ensure you are meeting regulatory standards and the expectations of examiners.

Learning Objectives

  • Reviewing common typologies for senior financial abuse such as opening lines of credit for no apparent purpose, anomalous spending patterns and cash-out mortgage activity
  • Understanding how to work collaboratively with law enforcement, government authorities and public interest groups, including filing SARs and assembling findings of senior exploitation
  • Examining recent senior financial abuse-related regulations and laws, including FINRA rule changes and the Senior Safe Act
  • Deterring and detecting senior financial fraud by harnessing technology to spot patterns of abuse

Who Should Attend

  • Banking Managers
  • Compliance Professionals
  • Auditors
  • BSA/AFC Officers
  • Risk Managers
  • Internal Training Specialists
  • AFC Consultants

Region/Industry

  • Global
  • Banking
  • Securities
  • MSBs
  • Credit Unions

Pricing

ACAMS Members Non-Members
$245 $445
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