Implementing and Monitoring AML/CTF Programs
David Harley, CFE CAMS, Director at Delta Financial Crime Consulting Pty Ltd
Coming soon.. Please contact customer care for new schedule
||ComplianceOnline AML/CTF Workshop is Certified for CAMS and CPE Credits
The Association of Certified Anti-Money Laundering Specialist ® (ACAMS) has certified our seminar on Managing an Effective AML Compliance Program for a total of Fourteen (14) CAMS credits, as has the National Association of State Boards of Accountancy (NASBA) for Sixteen and a half (16.5) CPE credits.
So your reporting entity implemented an AML/CTF program and everyone in the business committed to do what was needed. How much has changed in the intervening years since implementation and, more importantly, how do you monitor compliance with the program? Are you struggling with the roles set out in the three lines of defence? Whilst you may sit in line 2 are you dealing with the business and making decisions they should be making? Are you a part time compliance officer with a day job? What is your time allocation for the management of an AML/CTF program?
This program will work through the intricacies of managing all the moving parts of a program and looks at common issues found in AML/CTF programs.
Most programs were implemented in 2007 and, apart from changes around KYC, most programs have not moved down the maturity path. There has been, and continues to be, significant change. Has your program matured or is it still taking a minimalist approach? Have the board actually had any relevant training? When was the last time that you had an independent review? Was it actually independent? Does your risk assessment flow into your transaction monitoring?
Using real examples as case studies, this program is designed to help you understand:
- The threat environment and areas of risk;
- The importance of taking a holistic view;
- The importance of your risk assessment in driving your control framework;
- Where do the risks actually sit;
- The importance of making compliance a KPI or hurdle to performance bonus achievement;
- The importance of knowing who you are dealing with;
- That the customers of your customer really are a concern;
- Why the boards messaging gets lost somewhere in middle management;
- What are you monitoring for and do your rules actually help you manage your risk;
- Monitoring program compliance;
- Managing outsource partners
- Incident response
Seminar Fee Includes:
$100 Gift Cert for next seminar
- Understanding the importance of monitoring for compliance
- Maturing your program
- Monitoring compliance
- Dealing with outsource partners who may be performing key functions on your behalf
- Undertaking reviews
Areas Covered in the Seminar:
- Current AML/CTF threat environment
- Is your program up to date
- Program Governance
- Encouraging compliance
- Examples of issues (case studies throughout the course)
- Assessing the risk for your organisation and how that may change over time
- Assessing transaction monitoring rule effectiveness and making a case for change
- Assessing and monitoring contract performance and goods supplied post the contract award
- Monitoring and testing for compliance
Who will Benefit:
- Board Members
- AML/CTF teams
- Financial Institutions
- Banking Organizations / Investment Organizations
- Insurance Companies
- Foreign Exchange
- Financial crime compliance managers
- Internal auditors
- Compliance staff
- Fund Managers
- Legal Officers
- Bank Regulators
- Financial Controllers
- Regulatory Bodies / Regulators / Supervisors
- Compliance Officers, Managements
- Internal and External Auditors/ Intern Auditors
- Independent Auditors
- Staff with Roles and Responsibilities in AML Management and Oversight
- Risk and Compliance Management
- Consultants in the AML / CTF Industry
- Compliance Analysts and Advisors
- Company Management
- Compliance Analysts
- Operational Risk Managers
We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at Ph: 650 620 3961; email: email@example.com. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.nasba.org, e-mail firstname.lastname@example.org.
Members of the Association of Certified Anti-Money Laundering Specialists have the opportunity to earn a total of 14 CAMS credits. For more information please visit www.ACAMS.org or contact email@example.com..
Field of Study:
- Auditing: 2.4 CPE Credits
- Behavioral Ethics: 1.2 CPE Credits
- Personnel/HR: 1.2 CPE Credits
- Regulatory Ethics: 1.2 CPE Credits
- Specialized Knowledge and Applications: 10.5 CPE Credits
- Total CPE credits earned in this seminar: 16.5 CPE Credits
Program Delivery Method: Group-Live
Program Level: Intermediate
Advance Preparation/Program Prerequisites: None
|Day 1 (8:30 AM – 4:30 PM)
||Day 2 (8:30 AM – 4:30 PM)
- 8:30 – 9:00 AM: Registration
- 9:00 AM: Session Start Time
- Current regulatory environment
- How does an AML/CTF issue or adverse compliance assessment report impact an organisation
- Communicating the issues to the board and getting buy in
- What makes an effective AML/CTF program
- Knowing my obligations, knowing my customers, knowing my customers transactions and knowing my governance
- Document, document and know where it all is
- The importance of version control – what policy applied when
- Reviewing your key documents and managing change
- Driving the program to maturity
- ML/TF risk assessments
- Are your risk assessment outputs meaningful?
- Do they transfer to your transaction monitoring?
- Understanding the risk your customers’ customers may pose
- Approval and oversight by the board and senior management
- Appointing an AML/CTF compliance officer
- What is the role and the responsibility?
- Stability and consistency
- Managing exemptions
- Managing ongoing compliance
- Who is doing what and when?
- Multi-national programs
- Business versus Group compliance monitoring
- The three lines of defence
- Operational compliance and / or regulatory compliance
- Independent Reviews and their uses
- Seeking value – ask for feedback
- The importance of the work plan and the report
- Inclusion of deeper dives
- Common findings from Independent reviews
- Transaction Monitoring
- AML/CTF TM is a regulatory function
- Are your rules effective?
- Testing your monitoring
- Does your monitoring comply with your program?
- Q and A
Meet Your Instructor
||David Harley CFE CAMS
Director at Delta Financial Crime Consulting Pty Ltd
EXPERT David Harley CFE CAMS – is a skilled and effective Anti-Fraud, Anti-Corruption and Anti-Money Laundering professional with over 30 years’ experience preventing, detecting and resolving issues that relate to fraud, corruption money laundering and terrorist financing. With a law enforcement background focused on criminal investigation and proceeds of crime, David has spent nearly 18 years working in a commercial environment dealing with fraud and corruption.
David has led the development of frameworks and policies, undertaken business partner reviews and lead a range of fraud and corruption investigations, across multiple jurisdictions, including Australia, Bangladesh, China, Indonesia, Papua New Guinea and the Pacific Islands.
He possesses an extensive repertoire of strategic and tactical knowledge and skills, including forensic technology, forensic accounting, data analysis and a range of investigation skills/methodologies, and is able to provide commercially and ethically sound remediation recommendations and systems-based solutions to mitigate future risks. David takes a holistic approach to risk and issue management and is committed to leaving a lasting and beneficial impact on businesses that extends long after the engagement is completed. An excellent communicator, teacher and mentor who regularly lectures in Certificate III in Investigative Services and Certificate IV in Government (Investigation) for registered training organisations.
Register by P.O. / Check
Yes, I want to attend "Implementing and Monitoring AML/CTF Programs".
Click here to download P.O. form
If you are paying by check:
Checks should be payable to MetricStream Inc. (our parent company) and mailed to:
2479 East Bayshore Road
Palo Alto, CA 94303
Send your team for maximum benefit.
Get your team up to speed!
Significant tuition discounts are available for teams of two or more from the same company. You must register at the same time and provide a single payment to take advantage of the discount.
||Get 10% off
|3 to 6 Attendees
||Get 20% off
|7 to 10 Attendees
||Get 25% off
||Get 30% off
Call toll free on +1-888-717-2436 if you have any queries.
Register by Wire Transfer
If you wish to pay by wire transfer, please call us toll free on +1-888-717-2436
Terms & Conditions to Register for the Seminar/Conference/Event
Your registration for the seminar is subject to following terms and conditions. If you need any clarification before registering for this seminar please call us @ +1-888-717-2436 or email us @ firstname.lastname@example.org
Payment is required 2 days before the date of the conference. We accept American Express, Visa and MasterCard. Make checks payable to MetricStream Inc. (our parent company).
Cancellations and substitutions:
Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund — less a $200 administration fee. No cancellations will be accepted — nor refunds issued — within 10 calendar days before the start date of the event.
On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($200) will be transferred to any future ComplianceOnline event and a credit note will be issued.
Substitutions may be made at any time. No-shows will be charged the full amount.
We discourage onsite registrations, however if you wish to register onsite, payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available, we will send the material after the conference is over.
In the event ComplianceOnline cancels the seminar, ComplianceOnline is not responsible for any airfare, hotel, other costs or losses incurred by registrants. Some topics and speakers may be subject to change without notice.
Attendance confirmation and documents to carry to the seminar venue:
After we receive the payment from the registered attendee, an electronic event pass will be sent to the email address associated with the registrant 5 working days before the seminar date. Please bring the pass to the venue of the event.
Conference photograph / video:
By registering and attending ComplianceOnline conference, you agree to have your photographs or videos taken at the conference venue and you do not have any objections to ComplianceOnline using these photos and videos for marketing, archiving or any other conference related activities. You agree to release ComplianceOnline from any kind of claims arising out of copyright or privacy violations.
If you wish to partner with us for this event
contact us: email@example.com
call us: +1-888-717-2436.
Media Partner Benefits
- Logo and company data on the event website.
- Logo on the conference material distributed during the conference.
- Media partner’s brochure distributed along with conference material.
- Logo on all the mailings before and after the event.
- 10% discount to media partner's subscribers.
Media Partner To Do
- Banner (min 728x90 or 468x60) on the media partner website.
- Insertion of the event in the event calendar, both printed and/or online.
- Announcement article of the conference on the magazine and/or website.
- Dedicated email blast to media partner’s subscribers.
- Article on the magazine and/or website after the conference.
If you wish to sponsor this event
contact Cruise Webster: firstname.lastname@example.org
call us: (207) 576-4173
Sydney Opera House
The Sydney Opera House is one of the most distinctive and famous 20th century buildings, and one of the most famous performing arts venues in the world. Though its name suggests a single venue, the project comprises multiple performance venues which together are among the busiest performing arts centers in the world — hosting over 1,500 performances each year attended by some 1.2 million people.
Sydney Harbour Bridge
The Sydney Harbour Bridge is one of Australia's most well known and photographed landmarks. It is the world's largest (but not the longest) steel arch bridge with the top of the bridge standing 134 metres above the harbour.
Sydney's most famous beach attracts large numbers of tourists to Bondi throughout the year with many Irish and British tourists spending Christmas Day there. Bondi Beach features many popular cafes, restaurants and hotels, some with spectacular views of the beach and surrounding headlands. The beach itself is approximately one kilometer long.
A lively harbourside precinct, Darling Harbour is just a 10-minute walk from Sydney city centre. One of Sydney's largest dining, shopping and entertainment precincts has a full calendar of outdoor events as well as one of the city's most restful spots, the Chinese Gardens of Friendship.
Taronga Zoo is the nation's leading zoological garden, featuring Australia's finest collection of native animals and a diverse collection of exotic species. It is home to over 2,600 animals on 28.7 hectares, making it one of the largest of its kind, and it divided into eight zoogeographic regions with numerous indoor pavilions and outdoor exhibits.
The Rocks is an urban locality, tourist precinct and historic area of Sydney's city centre, in the state of New South Wales, Australia. It features a variety of souvenir and craft shops, and many themed and historic pubs. The Rocks Market operates each weekend, with around 100 stalls.
Sydney Tower is Sydney's tallest free-standing structure, and the second tallest in Australia (with the Q1 building on the Gold Coast being the tallest). The tower is open to the public, and is one of the most prominent tourist attractions in the city, being visible from a number of vantage points throughout town and from adjoining suburbs.
Museum of Contemporary Art
The Museum of Contemporary Art (abbreviated MCA) in Sydney, Australia is an Australian museum solely dedicated to exhibiting, interpreting and collecting contemporary art, both from across Australia and around the world. It is housed in the Art Deco-style former Maritime Services Board Building on the western edge of Circular Quay.