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Program | ABA/ABA Financial Crimes Enforcement Conference

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Sessions will be delivered live as well as pre-recorded, and all will be available for viewing at your leisure. Content will be available for attendees from event launch on December 8 through January 31, 2021. Please note: the platform closes at 11:59 AM PT on January 31, 2021 and content will no longer be available.

2020 Program

All times are in EDT.

  • Tues, Dec 8

  • Wed, Dec 9

  • Thu, Dec 10

  • Power Lunch Sessions

Tues, Dec 8

10:00 AM - 11:30 AM

GENERAL SESSION: STATE OF THE INDUSTRY

Part 1: State of the Industry

From the pandemic to BSA reform and inside-DC politics, ABA’s President and CEO will outline what is happening now and what will impact banks in the months ahead.

  • Rob Nichols, President and CEO, American Bankers Association

Part 2: Pandemic Impact on the Financial System

ABA’s point person on the pandemic will provide an overview of fraud related impacts of the pandemic on the financial system.

  • Paul Benda, Senior Vice President, Risk and Cybersecurity Policy, American Bankers Association

Part 3: Regulatory Regime: 50 Years After the BSA Was Enacted

It’s been 50 years since the BSA was enacted—how has the regulatory regime evolved? Hear The Honorable Juan Zarate, former Deputy Assistant to the President and Deputy National Security Advisor for Combating Terrorism and former Assistant Secretary of the Treasury for Terrorist Financing and Financial Crimes give his assessment of the current state of our regulatory regime.

  • The Honorable Juan Zarate, Global Co-Managing Partner and Chief Strategy Officer, K2 Integrity

11:30 AM - 12:00 PM

Innovations and Solutions in the Marketplace

12:00 PM - 12:45 PM

BREAKOUT SESSIONS – SERIES 1

Select one of five breakouts offered concurrently. If you can’t view it at this time, you can watch later! All of these sessions will be available for on-demand viewing later in the day.

1A-BSA Reform: What Does It Mean For Your Institution

The American Bankers Association has been partnering with law-makers, federal banking regulators, law enforcement groups, and bankers to find common sense improvements to the current BSA framework that will support law enforcement while minimizing unnecessary regulatory burdens. Some of the needed improvements, like creating a federal beneficial ownership registry, are statutory changes and will require action by Congress. Others, like improving information sharing and applying a risk-based approach to AML/BSA exams, can be achieved through regulatory adjustments. Join our panel is we highlight key aspects of reform efforts which are aimed at strengthening the BSA/AML system. This is a ‘must-see’ for anyone in anti-money laundering compliance.

  • Lauren Kohr, CAMS-FCI, CFIRS, Senior Vice President, Chief Risk Officer, Old Dominion National Bank
  • Debra A. Roberts, Managing Director, General Counsel for Global Financial Crimes & Political Law, JPMorgan Chase & Co
  • Moderator: Robert G. Rowe (Rob), III, Vice President & Senior Counsel, Regulatory Compliance Policy, American Bankers Association

1B-Protecting the Integrity of the Financial System

Hear an assessment of the global risks that impact the integrity of the financial system and how jurisdictional authorities are approaching these risks, especially focusing on issues surrounding imposing further sanctions as a tool to combat illicit activity.

  • Chip Poncy, Global Co-Head Financial Crimes Risk Management, K2 Integrity
  • David C. Rybicki, Partner, K&L Gates 
  • Moderator: Sepideh Rowland, CAFP, Managing Director & Head of Outsourced Financial Crimes Risk Management, K2 Integrity

1C-Know Your Employee (“KYE”): Insider Threat Considerations During the Pandemic and Beyond

Turbulent economic conditions, a global pandemic and a growing remote workforce create a perfect storm for potential Insider Threats. But even prior to the pandemic, financial institutions faced significant risks via self-serving or criminal acts carried out by business insiders. It is critical for financial institutions to understand these risks and how to control for them. This session will focus on defining the risk and identifying leading practices for your institution, now and into the future.

  • Russel D. Francisco, Associate General Counsel, Senior Vice President, Legal Department, Regulatory Inquiries Group, Bank of America
  • Michael (Mike) J. Leotta, Partner, WilmerHale 
  • Moderator/Speaker: Matthew S. Haslinger, Chief BSA/AML Officer, M&T Bank 

1D-Risk Control for Financial Crime Models

As model risk management programs across financial institutions have matured, increased documentation and validation requirements have impacted the ability of Financial Crimes teams to deploy or adjust models to identify fraud or money laundering activities. In addition, the increased use of artificial intelligence and machine learning has compounded the challenges and need for a strong partnership between Financial Crimes Analytics and Model Risk Management. In this session, the panel will offer practical advice and examples of how to balance the need to respond to a risk event with the need to properly manage model risks.

  • Andres Lopez, Senior Vice President, Head of Compliance Model Validation/Model Risk Management, US Bank
  • Andra Pirnog, Director of AML Data & Analytics, State Street Bank
  • Moderator: Jim Arndts, Senior Vice President, Financial Crimes Executive & Model Risk Officer, Consumer Lending, Wells Fargo N.A,

1E-Virtual Gaming: Risks and Exposures

From casinos moving to online platforms to sports betting, to virtual gaming eco-systems with their own payment infrastructure – do you understand the risks and exposures? We’ll outline the latest in the ever-evolving world of online gaming.

  • Stephanie Brooker, Partner, Gibson Dunn & Crutcher LLP (and outside counsel to the American Gaming Association for financial crimes compliance and enforcement)
  • Elizabeth Cronan, J.D., Vice President, Government Relations, Geoguard
  • Dan Kim, Assistant General Counsel, Global Financial Crimes Legal, JPMorgan Chase & Co.

12:45 PM - 1:00 PM

Take A Break

Grab a few minutes for yourself or take advantage of some of our short, on-demand videos and podcasts, which range from educational to fun to health focused.

1:00 PM - 1:30 PM

POWER LUNCH SESSIONS

Lunch and Learn! This is a great time to take a lunch break and watch one of our expert corporate partners provide new insights and trends in financial crime risk management. 

1:30 PM - 2:00 PM

Innovations and Solutions in the Marketplace

2:00 PM - 2:45 PM

BREAKOUT SESSIONS – SERIES 2

Select one of five breakouts offered concurrently. If you can’t view it at this time, you can watch later! All of these sessions will be available for on-demand viewing later in the day.

2A-The Impact of Wolfsberg and FATF on Your AML Program

This year marks the 31st anniversary of the FATF. Do you understand its role and the role of the Wolfsburg Group in developing global frameworks, standards and guidance in managing financial crime risks, especially the misuse of virtual assets for money laundering and terrorist financing? Our experts will walk through how the two groups work together, what their top issues are and what it means to your institution – large or small.

  • Lester Joseph, Senior Vice President, Manager, Global Financial Crimes Intelligence Group, Wells Fargo & Company
  • Sarah Runge, Global Head FCC Regulatory Strategy, Credit Suisse 
  • Patricia Sullivan, Managing Director, Global Co-Head, Financial Crime Compliance, Standard Chartered Bank

2B-The Latest Trends in Threat Finance

Hear one of the United States’ top experts in threat finance and national security, The Hon. Juan Zarate, discuss current trends, methods and emerging actors, including cyber-attacks, that threaten U.S. national and economic security.

  • The Honorable Juan Zarate, Global Co-Managing Partner and Chief Strategy Officer, K2 Integrity

2C-Adjusting Your Governance Practices for the Pandemic and Beyond – of special interest to community banks

COVID-19 has challenged institutions to re-think their approach to BSA/AML program governance. With remote employees, limited resources, and cost considerations, banks, especially community banks, face the daunting question of how to maximize existing, but limited resources all while maintaining a strong risk-based governance program. This session will provide suggestions on updating your governance practices in the COVID-19 environment. You will walk away with an improved ability to focus your efforts and resources on the most critical and impactful concerns that have arisen from the pandemic. 

  • Paul Achman, BSA/OFAC/Fraud Officer, TCF National Bank
  • Heidi D. Ponder, CAMS, CAFP, Vice President, Director of Fraud/Anti Money Laundering, BSA Officer, Busey Bank
  • Moderator: Heather Allen, CAMS, CRCM, CAFP, First Vice President, BSA Officer, Peoples Bank

2D-Implementing Strong Controls and Detection for Human Trafficking: A Case Study

This session will feature a bank’s approach to combatting human trafficking as well as insight from an organization working to protect vulnerable populations including victims of human trafficking. The session will provide practical advice including the importance of collaboration not only within your institution but also externally with law enforcement and other organizations. Through targeted training and monitoring, this bank improved the number and quality of SAR filings in regard to this typology.  This session will also provide red flag indicators and metrics valuable to building a similar approach. 

  • Aminah Harris CAMS, CFE, Senior AML Compliance Manager, TD Bank
  • Shawn Holtzclaw, Executive Director and Board Member, The Knoble
  • Moderator: Mia Levine, BSA Officer, TD Bank

2E-The Evolving Approach to Risk Assessments

Even though it isn’t new, risk assessments are taking on increased importance. Updates to the FFIEC BSA/AML exam manual and the FinCEN advanced notice of proposed rulemaking both emphasize the risk assessment process. In fact, FinCEN is considering making it a mandatory requirement hard-wired into regulation. At the same time, law enforcement priorities are becoming a key component of the process. This session will take a close look at the risk assessment process and the do’s and don’ts of a successful program.

  • Megan Nelson, Senior Vice President, Financial Crimes Governance, BB&T now Truist
  • Julio Roman, Executive Vice President, Chief Risk Officer, Lone Star National Bank
  • Jennifer White, Supervisory Financial Analyst, Board of Governors of the Federal Reserve
  • Moderator: Teresa A. Pesce, President and CEO, Terry Pesce & Co LLC

2:45 PM - 3:00 PM

Take A Break

Grab a few minutes for yourself or take advantage of some of our short, on-demand videos and podcasts, which range from educational to fun to health focused.

3:00 PM - 4:00 PM

General Session: A Conversation with FBI Director Christopher Wray

FBI Director Christopher Wray offers his perspective on the Bureau's ongoing efforts to combat a range of financial crimes and the importance of cooperation between law enforcement and America's banks. After his remarks, Director Wray will join ABA Chief Communications Officer Peter Cook for a question-and-answer session.

  • Peter Cook, Chief Communications Officer, American Bankers Association
  • Christopher Wray, Director, Federal Bureau of Investigation

4:00 PM

Day 1 Concludes

Wed, Dec 9

10:00 AM - 11:00 AM

General Session: The Future of Financial Crimes Management Beyond Convergence

Going into 2021, how would you rate the effectiveness of your institutions financial crimes program holistically? Hear our panel of industry leaders discuss the behaviors of bad actors today and what types of adjustments banks need to make tomorrow when managing systems and people.  No matter the size or complexity of your institution, this thought provoking conversation will challenge you to proactively assess your current program and identify meaningful improvements to address the dynamic challenges ahead.

  • Lisa Grigg, CAMS, Chief Enterprise Financial Crimes Compliance Executive, U.S. Bank National Association
  • Megan D. Hodge, CAMS, Executive Compliance Director, BSA/AML Officer, Enterprise Compliance Regulatory Affairs, Ally Bank
  • Georgie Kastama, CAMS, CFE, Senior Vice President, BSA Officer, MidFirst Bank 
  • Ian T. Mitchell,  Principal - Financial Crimes Fraud Management Leader, PwC (PricewaterhouseCoopers LLP)
  • Moderator: Ryan Rasske, Senior Vice President, Risk and Compliance Markets, American Bankers Association

11:00 AM - 11:30 AM

Innovations and Solutions in the Marketplace

11:30 AM - 12:15 PM

BREAKOUT SESSIONS – SERIES 3

Select one of five breakouts offered concurrently. If you can’t view it at this time, you can watch later! All of these sessions will be available for on-demand viewing later in the day.

3A-Getting Ahead of the Operational Impacts With New Technology

As the industry continues to add more complex and innovative technology to identify and detect financial crime, regardless whether it is money laundering, fraud, or terrorist financing, it’s important to fully understand the desired outcome of that new technology and the steps needed to address the operational impacts to your organization. Join our panelists as they provide insights on understanding the full range of issues surrounding onboarding new technology including collaborating effectively with your technology partners, considerations for an optimal timeline to minimize interim negative impacts and other issues that could impact how you maximize benefits that you are expecting from your investment.

  • Mark Fortino, CAMS, Vice President | Quality Monitoring and Controls Director, U.S. Bank
  • Harsh R. Pandya, Social Scientist, Giant Oak, Inc.
  • Moderator/Speaker: Shannon L. Bennett, CRCM, CAMS, Senior Vice President, CDDO Chief Operations Officer, U.S. Bank

3B-Terrorist Financing Update

Join our panelists as they provide updates on the latest terrorist financing threats and red flags.

  • Brig Barker, Founder and CEO, Red Rock Global Security Group
  • Marcy M. Forman, Managing Director, Global Investigations Unit, AML Compliance, Citigroup, Inc.
  • Moderator: Brian D. Filbert, Executive Director, Global Head, Financial Intelligence Unit, JPMorgan Chase & Co

3C- Sanctions and Trade Finance

We’ll not only cover the latest OFAC actions in sanctions but we’ll also look at the intersections in trade finance.  

  • Satish M. Kini, Partner, Debevoise & Plimpton,
  • Eric Lorber, Managing Director, K2 Integrity
  • Moderator: Robert G. Rowe (Rob), III, Vice President & Senior Counsel, Regulatory Compliance Policy, American Bankers Association

3D-COVID-19 Related Schemes and Scams

From PPP, unemployment and contracting fraud to the full range of medical-related fraud, we’ll cover the latest fraud trends related to the pandemic and how to monitor and detect for these new fraud typologies.

  • Timothy Griskey, Senior Vice President and Head of Fraud, Anti-Bribery and Corruption Risk and Control, Wells Fargo and Company
  • Allen Love, Head of Fraud Risk Management and Global Security and Investigations, TD Bank
  • Moderator: Sepideh Rowland, CAFP, Managing Director & Head of Outsourced Financial Crimes Risk Management, K2 Integrity

3E-Inclusive Leadership and Collaboration: Moving Your Team Forward to Greater Success

Welcoming diverse viewpoints into the conversation are critical when tackling tough problems. Financial crimes professionals know the critical nature of inclusive collaboration and partnerships to meet regulatory and performance objectives. Our experts will model what constitutes inclusive leadership and collaboration and discuss specific tactics to improve team effectiveness in working with internal and external stakeholders in fighting financial crime. 

  • Richard Harvey, Executive Vice President, General Counsel and Director of Compliance Risk, Beneficial State Bank
  • Stephanie Watson, Vice President, Professional Development, Ohio Bankers League
  • Moderator: Naomi Mercer, Senior Vice President, Diversity, Equity and Inclusion, American Bankers Association

12:15 PM - 12:30 PM

Take A Break

Grab a few minutes for yourself or take advantage of some of our short, on-demand videos and podcasts, which range from educational to fun to health focused.

12:30 PM - 1:00 PM

Power Lunch Sessions

Lunch and Learn! This is a great time to take a lunch break and watch one of our expert corporate partners provide new insights and trends in financial crime risk management. 

1:00 PM - 1:30 PM

Innovations and Solutions in the Marketplace

1:30 PM - 2:15 PM

BREAKOUT SESSIONS – SERIES 4

Select one of four breakouts offered concurrently. If you can’t view it at this time, you can watch later! All of these sessions will be available for on-demand viewing later in the day.

4A-Digital Identity: The Next Gen of CIP

Identifying and verifying the identity of customers remains a critical component of customer due diligence. New technologies provide banks with enhanced means of identity verification, but full utilization of innovative approaches in this area are limited by the Customer Identification Program Rule, which is now close to 20 years old. In this session, we will discuss current approaches to customer identification, new approaches based on modern technology, and ways in which the CIP rule can be modified to accommodate these new approaches.

  • David B. Chenkin, Esq., Partner, Zeichner Ellman & Krause LLP
  •  Michael Greenman, Senior Vice President, Chief Counsel, Financial Crimes Legal, U.S. Bank National Association
  • Moderator: Daniel P. Stipano, Partner, Buckley LLP

4B-The Latest in Cybercrime Typologies

Confirmed From money mules to imposter scams, are you sure you are completely up-to-date on the latest cybercrime trends and typologies? Our experts will bring you the latest information to help you fine-tune your detection and prevention systems.

  • Gary Hartwig, Director – AML Investigations, Enterprise Financial Crimes Compliance, U.S. Bank
  • Jeff Kearney, CFE, CAMS, Executive Director, Enterprise Fraud, Security and Investigations, Ally Financial Inc.
  • Sam Small, Ph.D., Chief Security Officer, ZeroFOX
  • Moderator: Denyette DePierro, Vice President, Cybersecurity Policy, American Bankers Association 

4C-Elder Financial Exploitation in the COVID-19 Era

As with other frauds and scams, COVID-19 has also provided opportunities for further exploitation of the elderly population. Learn about what some of the prevalent scams are that have surfaced and how to identify and report these as well as how best to collaborate with local law enforcement agencies.

  • Stacey Ivie, Detective/Task Force Officer/Special Deputy U.S. Marshal, Alexandria Police Department
  • Jessie Ortiz, Detective MPO, City of Falls Church Police Department 
  • Paul Perkins, Associate Deputy Attorney General, U.S. Department of Justice
  • Moderator: Sepideh Rowland, CAFP, Managing Director & Head of Outsourced Financial Crimes Risk Management, K2 Integrity

4D-Risk Based Decision Making In Transaction Monitoring

This advanced level discussion will focus on how to safely make risk-based decisions to turn off or significantly pare back poorly performing rules. Experts will share ideas on how to make smart, informed decisions that will improve the efficiency and effectiveness of your SAR Program.
  • Brendan Brothers, Anti-Financial Crimes Specialist and Co-Founder, Verafin
  • Timothy A. Lutz, Director, Financial Intelligence Unit, U.S. Bank
  • Moderator: Megan D. Hodge, CAMS, Executive Compliance Director, BSA/AML Officer, Enterprise Compliance Regulatory Affairs, Ally Bank

2:15 PM - 2:30 PM

Take A Break

Grab a few minutes for yourself or take advantage of some of our short, on-demand videos and podcasts, which range from educational to fun to health focused.

2:30 PM - 3:00 PM

General Session: When Will We Learn Our Fraud Lessons–The Digital Economy's Enron

This summer’s news, besides the election and the pandemic, featured the shocking discovery of massive fraud at a large global payments processor and financial services provider, Wirecard. Hear lessons learned from the person who uncovered the internal fraud, was promoted to CEO to restructure the company and navigated through investigations and eventual insolvency proceedings. Mr. Freis will draw upon his prominent role in combatting fraud through the last financial crisis to discuss evolving risks and challenges to the financial services industry in our digital economy.

  • James H. Freis, Jr., Last CEO of Wirecard and Former Director, FinCEN
  • Moderator: Ryan Rasske, Senior Vice President, Risk and Compliance Markets, American Bankers Association

3:00 PM - 3:05 PM

Take a Break

Grab a few minutes for yourself or take advantage of some of our short, on-demand videos and podcasts, which range from educational to fun to health focused.

3:05 PM - 4:00 PM

General Session: Building the Business Case for Future Technology – Now!

Join our financial crime futurists as they explore the future of BSA/AML/Fraud technology. From transaction monitoring to customer identification technology, they will walk through the timeline from exploration to onboarding that banks should be considering based on their current business model. Panelists will also share the latest information surrounding cutting-edge technology – what’s available now, near-term and what is still a few years away and the challenges of implementing this new technology. Bankers from all sizes of institutions will walk away with an improved ability to evaluate their financial crime technology needs now and plan for the future. 

  • Jo Ann Barefoot, CEO, Barefoot Innovation Group, LLC
  • Jim Richards, Founder and Principal, RegTech Consulting, LLC
  • Gary M. Shiffman, Ph.D., Chief Executive Officer, Giant Oak, Inc.
  • Moderator: Ryan Rasske, Senior Vice President, Risk and Compliance Markets, American Bankers Association

4:00 PM

Day 2 Concludes

Thu, Dec 10

10:00 AM - 10:45 AM

General Session: FinCEN Director Kenneth A. Blanco

We are pleased to welcome once again Director Blanco to the conference. He will provide his annual update on current FinCEN initiatives and priorities.

  • Kenneth A. Blanco, Director, Financial Crimes Enforcement Network

10:45 AM - 11:15 AM

Innovations and Solutions in the Marketplace: Final Opportunity

11:15 AM - 12:00 PM

BREAKOUT SESSIONS – SERIES 5

Select one of four breakouts offered concurrently. If you can’t view it at this time, you can watch later! All of these sessions will be available for on-demand viewing later in the day.

5A- Making Sense of Data in Financial Crimes Monitoring and Testing

From data collection to sorting and reporting findings, especially from various system, data management is critical to a successful financial crimes program. This session will explore how to challenge of managing data for AML and Fraud including issues surrounding categorization, formats, standardized case schemas and strong alert outcomes.

  • David Franklin, Senior Vice President, Data Scientist Architect, Coastal Community Bank
  • Joe Robinson, co-CEO, Produce and Operations, Hummingbird
  • Moderator: Lyn Farrell, CRCM, Attorney-at-Law; Regulatory Strategy Advisor, Hummingbird

5B-Evaluating Your Risk Exposure for Digital Currencies and Fintechs

This session will explore recent regulatory concerns regarding risk exposure in the world of digital payments. From virtual currency to cryptocurrency to fintechs, we’ll discuss the approach banks take to conducting a risk assessment and completing appropriate due diligence reviews to effectively identify and manage risk. Further, we’ll discuss how to evaluate your ongoing monitoring for the entities you are banking.

  • Gabriel Hidalgo, Esq., Managing Director, Financial Crimes Risk Management, K2 Integrity
  • Laurel Loomis Rimon, Partner, O’Melveny & Myers LLP  
  • Moderator: James J. Finnerty, CAMS, Director, Global Commercial Banking, AML Compliance Risk Management, Citigroup

5C-Adjusting Your CDD Program in a Pandemic

There are a number of new challenges that have come into play in obtaining and updating customer due diligence information during the pandemic, for both individual and entity relationships. With a decrease in face-to-face interactions, this session will walk through examples of adjustments that institutions made during this time as well as the challenges that continue to face the industry. The panel will provide practical tips on how to adjust your onboarding, monitoring and refresh processes to account for these changes.

  • Carl Francois, CAMS, CAFP, Senior Vice President, Director of Surveillance, Financial Intelligence Unit, SouthState Bank
  • Christy B. Smith, CRCM, Senior Vice President and Financial Crimes Business Risk Director, Wells Fargo Bank
  • Moderator/Speaker: John Dunning, Enterprise Financial Crimes Compliance Policy and Program Director, Senior Vice President, U.S. Bank

5D-Detecting and Reporting Illegal Debt Collection Operations

As the pandemic-induced recession continues, how are you protecting your bank and your customers from illegal debt collection? From KYC to transaction monitoring red flags, our experts will cover every angle to ensure you are doing what you need to do to identify and report illicit debt collection.

  • Christopher L. Boyd, New York State Assistant Attorney General
  • Dale Kasprzyk, Head of Financial Intelligence Unit, M&T Bank
  • Moderator/Speaker: Jonathan E. Lopez, Partner, Allen & Overy LLP

12:00 PM - 12:15 PM

Take a Break

Grab a few minutes for yourself or take advantage of some of our short, on-demand videos and podcasts, which range from educational to fun to health focused.

12:15 PM - 12:45 PM

Power Lunch Sessions

Lunch and Learn! This is a great time to take a lunch break and watch one of our expert corporate partners provide new insights and trends in financial crime risk management.

12:45 - 1:00 PM

Take a Break

Grab a few minutes for yourself or take advantage of some of our short, on-demand videos and podcasts, which range from educational to fun to health focused.

1:00 PM - 2:00 PM

General Session: Regulatory Roundtable

Join us for our annual regulatory roundtable, which has been an annual highlight of this conference. Expect discussions surrounding BSA Reform, exam expectations, especially during COVID-19, and other updates.

  • Lisa D. Arquette, Associate Director, Division of Risk Management Supervision, Federal Deposit Insurance Corporation 
  • Barry Emmert, Director, Office of Regulatory Policy, Financial Crime Enforcement Network (FinCEN)
  • Donna Murphy, Deputy Comptroller for Compliance Risk Policy,  Office of the Comptroller of the Currency
  • Suzanne L. Williams, Deputy Associate Director, Board of Governors of the Federal Reserve System
  • Moderator: Robert G. Rowe (Rob), III, Vice President & Senior Counsel, Regulatory Compliance Policy, American Bankers Association

2:00 PM - 2:15 PM

Take a Break

Grab a few minutes for yourself or take advantage of some of our short, on-demand videos and podcasts, which range from educational to fun to health focused.

2:15 PM - 3:30 PM

General Session: What Does “Effective” Mean?

Join representatives from all areas of the financial crimes community as they explore what is meant by “effective” and how that translate into changes you should be making to your overall program. 

  • Stephanie Brooker, Partner, Gibson Dunn & Crutcher LLP 
  • Debra A. Roberts, Managing Director, General Counsel for Global Financial Crimes & Political Law, JPMorgan Chase & Co
  • Robert G. Rowe (Rob), III, Vice President & Senior Counsel, Regulatory Compliance Policy, American Bankers Association
  • Bret Kressin, Assistant Special Agent in Charge-Branch C, Washington DC Field Office, IRS-Criminal Investigation
  • Moderator: Ryan Rasske, Senior Vice President, Risk and Compliance Markets, American Bankers Association

3:30 PM

Conference Adjourns

Power Lunch Sessions

Lunch and Learn

This is a great time to take a lunch break and watch one of our expert corporate partners provide new insights and trends in financial crime risk management.

RPA and NLP: New Technology (and New Acronyms!) Solving Old Problems
Sponsored by ABBYY

We’ll show you how you can combine Robotic Process Automation (RPA) with Natural Language Processing (NLP) to create innovative new automated workflows in KYC/AML aimed at mitigating the new risks imposed by the distanced world of the current pandemic.

  • Andrew Pery, Process Intelligence Lead, ABBYY 
  • Michael Simon, Independent Consultant and Attorney, ABBYY

New Joint Research on Money Laundering Techniques – Key Findings
Sponsored by BAE Systems

What happens to funds after they have been stolen? Studies on this are difficult to track down. We’ll share the latest research from BAE Systems on how cyber attackers not only conduct and “cash out” a successful attack, but also avoid the funds being traced. Join this session as we illuminate the ways in which criminals siphon funds from the financial system with particular attention to: how money laundering is typically carried out in a large-scale cyber heist, common processes and examples to help you focus on areas in which controls could be improved, and how these techniques may evolve. 

  • Robert Goldfinger, Global Expert of Financial Crimes Solutions, BAE Systems Applied Intelligence 
  • Brett Lancaster, Head of Customer Security, SWIFT 
  • Simon Viney, Financial Services Cyber Security Lead, BAE Systems Applied Intelligence

Building a Risk-Based Approach to Understand your Exposure to Cryptocurrency
Sponsored by Chainalysis, Inc.

Are you interested in gaining a better understanding of cryptocurrencies? Are you looking for information to help understand your institution's overall exposure or quantify the risks of getting more deeply involved in cryptocurrency businesses? In this session, we will guide you through a framework and workflow on how to assess risk.

  • Jackie Koven, Solutions Architect, Chainalysis
  • Samantha Stutman, Financial Institutions Lead, Chainalysis 
  • Amanda Wick, Chief of Legal Affairs, Chainalysis

The Risks and Rewards of Cannabis Banking
Sponsored by Green Check Verified

This panel of industry experts will share their first-hand experiences developing, supporting, and scaling cannabis banking programs. Hear both the risks and the opportunities that banks must navigate, along with relevant insights, practical advice and candid stories from the front-lines of this emerging space. 

  • John Geiringer, Partner, Barack Ferrazzano Kirschbaum & Nagelberg LLP
  • Stacy Litke, Director, Bank Compliance & Oversight, Green Check Verified 
  • Katrina Skinner, Partner, Burns & Levinson LLP
  • Moderator: Mike Kennedy, Co-Founder and Head of Product & Strategy, Green Check Verified

Building a Next Gen Compliance Program? Machine Learning is Key
Sponsored by Guidehouse

Machine learning can drive the effectiveness and efficiency of financial institution compliance programs. While ML enables institutions to go on the offensive in fighting financial crime, it isn’t a magic bullet. Some implementations fail to meet expectations because ML is applied to the area of greatest pain rather than greatest opportunity. This panel will lay out key benefits of implementation, top risks and pitfalls, and how to prioritize ML use cases that drive results.

  • Jessica Li Guild Ph.D., Director, Head of Digital Transformation Office, Compliance Americas, Société Générale
  • Tim Mueller, Partner & Financial Services Segment Technology Leader, Guidehouse

Safety and Trust – Five Keys to Smarter Onboarding
Sponsored by IBM 

Onboarding customers is the single largest opex for a financial institution, and compliance is the main driver of that. Additionally, firms are, in general, unsatisfied with their solutions and the number of people that are required to support those processes. This session outlines the five keys to successful customer onboarding: ask the right questions upfront; save time and money with intelligent automation; destroy silos; identify the real risks with intelligent analytics; and inspire confidence, trust and loyalty.

  • Rob Stanich, IBM Offering Manager, Financial Crimes Insight Partnerships

Recruiting for AML – Find the Right People in the Right Way
Sponsored by KPMG LLP

This session will delve into the challenges faced by AML professionals as they work to bring the right resources to their teams. Learn about the areas where there is high demand for AML expertise, as well as best practices for recruiting, retaining and developing top talent.

  • Jennie Jonas, Managing Director, KPMG LLP
  • Emma Monaghan, Managing Director and Deputy Global Head of Financial Crime, BlackRock 
  • Eric Wenzel, Director, Human Capital Advisory practice, KPMG

Can Your AML Model Withstand a Pandemic?
Sponsored by The Mercadien Group

This year caused waves in almost every aspect of our lives, but advancement in technology continues to accelerate. As vendors offer more advanced products to help identify suspicious activity, banks must maintain strong controls to govern their application and use. Hear strategies to adequately govern transaction monitoring systems and ensure they are not inadvertently exposed to risk, even during rapid growth. We will also cover key areas in transaction monitoring that will be affected by changes in customer’s behavior due in part to the global pandemic.

  • Dominic Hulick, CAMS, Supervisor, Mercadien P.C.
  • Salvatore Zerilli, CPA, CAMS, Managing Director, The Mercadien Group 

Streamlining Investigations with Unified Case Management
Sponsored by NICE Actimize

Learn how you can improve investigation efficiency and SAR quality through a unified case management system. By leveraging Xceed, the most comprehensive financial crime management platform on the cloud, you can connect fraud and AML insights in one place to make faster, better informed decisions.

  • Andrew Corbett, Solutions Consultant, NICE Actimize
  • Tiffany Ha, Product Marketing Manager, NICE Actimize
  • David Schneiderman, Senior Solutions Consultant, NICE Actimize

Reducing the Cost of Compliance: Contextual Decision Intelligence
Sponsored by Quantexa

Data is at the heart of effective financial crime detection, but harnessing that data is often cited as a top pain point for financial institutions. Contextual decision intelligence technology, powered by entity resolution and network analytics, connects data and enables FIs to streamline KYC processes, reduce false positives and speed investigation times. In this session, you’ll learn how to break down data siloes and reduce compliance costs.

  • Christine Broomhead, Global Head of Demand Generation Marketing, Quantexa
  • Clark Frogley, Americas Head of Financial Crime Solutions, Quantexa 
  • Vinay Ravichandran, Solutions Engineer, Quantexa

AML: Past, Present and a New Future
Sponsored by Verafin

Join Corey Lynch, Verafin Product Expert, and Jim Richards, former Wells Fargo EVP and Director of Financial Crimes Risk Management to discuss the evolution of the BSA. This valuable discussion will cover the challenges facing financial institutions, including FinCEN’s ANPRM and calls to modernize the BSA/AML, and how technology can shape the future of AML.

  • Corey Lynch, Product Expert, Verafin
  • Jim Richards, Former EVP and Director of Financial Crimes Risk Management, Wells Fargo

Breaking the Vicious Cycle of Manual AML Operations
Sponsored by WorkFusion

Most AML leaders miss the paradox that adding people to a broken process only worsens it, with each additional person incrementing risk. Automation helps correct this by freeing analysts from the simple alerts to focus on the higher risk ones, in Name Screening Alert Review and other areas.

  • Kyle Hoback, Director of Market Enablement, WorkFusion

This program is subject to change. Please bookmark this page to check for continuing updates. Read ABA Conference and School Policies to help answer additional questions.

Keep Me Informed

Get updates on the ABA/ABA Financial Crimes Enforcement Conference as we develop this year's program. Contact Dorothy Friedlander if you have any questions.