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AML Partnership Strategies among the Three Lines of Defense

Aired: Tuesday, March 6, 2018


1.25 CAFP, 1.25 CRCM, 1.25 CERP

In the context of AML, most of us who are BSA officers or part of an AML unit focus on our responsibilities as the second line of defense; while those responsibilities are certainly important, partnerships should exist with the first and third lines.

Panelists explore successful partnership strategies among the three lines of defense, and particularly address how and to what degree the second line should support others.

This recording focuses on:

  • Ensuring the first line has the necessary and relevant resources and training
  • Establishing a communication framework between the first and second lines
  • Establishing a reporting structure between the second and third lines
  • Guaranteeing that the third line's scope of activities is appropriate without being driven by the second line
  • Responding to the third line's inquiries and recommendations (particularly if they are wrong!)

Speakers:

  • Rebecca Robertson, CAMS-Audit, CFE, CAFP, Executive Vice President, Director of AML Compliance, South State Bank
  • Christopher D. Simpkins, CAMS, CFE, BSA and OFAC Officer, Arvest Bank
 

 Continuing Education Credits

 

ABA Professional Certifications has approved this program for 1.25 CAFP, 1.25 CRCM and 1.25 CERP continuing education credits for the live program and the recording.

CPE logoRecordings are not eligible for CPE credits. 

American Bankers Association is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

​Program Questions? Please contact Linda Shepard / Cari Hearn.
 

 Pricing & Purchasing

 

Streaming Online Recording
Now Available

ABA Member • $210
Non-Member • $310

 

 Who Should Attend

 
  • BSA/AML Officers, Managers, and Analysts
  • Compliance Officers, Managers, and Analysts
  • Financial Crimes Professionals or Coordinators
  • First Line/Business Line Risk Owners
  • Internal Auditors
  • Banking Consultants
  • Federal and State Banking Regulators/Examiners
 

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