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

  • Identifying key components to an AFC QA testing program, including a strong governance structure that includes training, audit risk assessment and metrics, and technology audit
  • Developing a standard testing program to ensure consistency of audit tests across line of businesses
  • Engaging with senior management to develop corrective actions for control deficiencies identified in testing
  • Exploring potential future enhancements to AFC QA testing program functions, including business process management, AI, traditional application automation and robotic process automation (RPA)

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
Register Now Join ACAMS

Moderator

Maria Lourdes Jimenez
  • Marilú Jiménez

  • President
  • FincAdvisors

Speakers

  • Kristin Pullar, CAMS-Audit

  • Vice President Internal Audit
  • Western Union


Sherri Scott
  • Sherri Scott, CAMS-Audit

  • Financial Crimes Investigator, Agent
  • Makton Investigations & Consulting

Bio

After completing her Masters of Business Administration (MBA) from Eastern Illinois University, Sherri worked as a bank regulator for the Federal Deposit Insurance Corporation (FDIC) and Office of the Comptroller of the Currency (OCC). Her inquisitive nature led her to work for the Federal Bureau of Investigation (FBI) in the Counterterrorism and Counterintelligence Unit. Subsequent to the FBI, she returned to the banking industry and sharpened her skills where Sherri personally led the investigation of a multi-million dollar international fraud scheme that was bought to prosecution by the U.S. Attorney’s Office.

Sherri is also a Certified Anti-Money Laundering Specialist (CAMS) and one of the few individuals to have both of the advanced CAMS certifications in Audit and Financial Crimes Investigations (FCI). The Association of Certified Anti-Money Laundering Specialists (ACAMS) has published two of her white papers, “CannaBanking: Cultivating a Culture of Compliance” and “Cryptocurrency Compliance.


Angel Swift
  • Angel Nguyen Swift, CAMS

  • Vice President, Compliance and Financial Crimes Solutions
  • Enigma

Bio

Angel Nguyen Swift is Vice President of Compliance and Financial Crimes Solutions at Enigma, an Operational Data Management and Intelligence company headquartered in NYC. Enigma puts data in the context of the real world and makes it connected, open and actionable for the Fortune 500.

Ms. Swift recently joined Enigma from American Express, where she served as the Vice President of the Global Financial Crimes Compliance – Financial Intelligence Unit (FIU) and played an active role in re-envisioning and rebuilding FIU from the ground up. Today, the unit, a centralized global team of more than 300 people supporting the company in over 40 countries, is responsible for the end-to-end SAR process (monitoring, investigations and reporting), Sanctions screening, PEP/EDD reviews, and Anti-Corruption payments monitoring.

Since 2015, her mission at American Express was to more specifically focus on bringing best in class tools and technology to the virtual desks of compliance personnel at all levels, to maximize capabilities and gain meaningful intelligence in their areas of expertise.  Her role at Enigma will give her the opportunity to continue this mission full-time.

Prior to American Express, Ms. Swift served as a New York County Assistant District Attorney, where she prosecuted a plethora of cases including street level violent crimes, sex crimes, and long-term identity theft and cybercrime investigations.