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

  • When: January 30, 2018
  • Time: 2:00 PM – 4:00 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


  • Global
  • North America
  • Bank
  • Securities
  • MSB


ACAMS Members Non-Members
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John J. Byrne
  • John J. Byrne, Esq., CAMS

  • Vice Chairman
  • AML RightSource


Marilu Jiménez
  • Marilu Jiménez, CAMS

  • Senior Vice President & Corporate Compliance Director
  • Popular Inc.

Rick Small
  • Rick Small, CAMS

  • Executive Vice President | Director Financial Crimes Program
  • BB&T


Mr. Small will bring leading insights on the challenges, strategies, regulatory expectations and future focus areas for anti-money laundering and financial crimes at a global level. Prior to joining EY, he was the Senior Vice President, Enterprise Wide Anti-Money Laundering, Anti-Corruption and International Regulatory Compliance for American Express. In this role, Mr. Small was responsible for overseeing the enterprise-wide anti-money laundering, anti-corruption and sanctions programs. In addition, he was responsible for the Compliance teams that manage day to day compliance outside of the United States. Prior to joining American Express, Mr. Small was the Global Anti-Money Laundering Leader for GE Money, a division of General Electric. In this role, he was responsible for the anti-money laundering program of all GE Money businesses globally. Prior to joining GE, he was the Managing Director, Global Anti-Money Laundering, for Citigroup.

Jeffrey Kelly
  • Daniel Soto

  • Chief Compliance Officer
  • Ally Financial Inc