ComplianceOnline

"Managing an Effective AML Compliance Program" - This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 17 CPE credits upon completion of this workshop.

Are the financial transactions within your organization subject to money laundering risk? Do you have a robust internal controls program that focuses on mitigating the greatest AML/Fraud risks? Are your employees aware of the red flags within all financial transaction business processes and know what to do if they find unusual or suspicious activity? Are your company and management are up to date on its compliance requirements and the potential impact of non-compliance?

Whether you need to get back-to-basics or you are a seasoned AML professional, join us as we explore the many facets of managing an effective AML compliance program: Join us as we focus on the following key elements:

  • Regulatory frameworks surrounding anti-money laundering
  • Objectives of an effective AML compliance program
  • Risk assessing your institution
  • Developing robust internal controls
  • Training for appropriate personnel
  • Expectations and duties of the appointed compliance officer
  • Effective audit program to ensure adequacy of your AML compliance program
Seminar Fee Includes:
Lunch
AM-PM Tea/Coffee
Seminar Material
USB with seminar presentation
Hard copy of presentation
Attendance Certificate
$100 Gift Cert for next seminar

Learning Objective:

Key goals of this course are:

  • To provide an understanding of money laundering and how it can impact an institution
  • To review the importance of “tone at the top” and how to implement a compliance-friendly environment
  • To learn about the critical internal controls and how these controls can protect your institution
  • The course will focus on the 4 pillars of an AML compliance program:
    • Policies, procedures and internal controls
    • Designation of a compliance officer
    • Training for appropriate personnel
    • Independent audit
  • To understand the importance of the risk assessment
  • To focus on the senior management/board of directors oversight of the Program
  • To discuss customer due diligence and know your customer expectations
  • To discuss knowing your high risk customers
  • To review implementation steps for enhanced customer due diligence
  • To discuss red flags indicating unusual or suspicious activity
  • To understand detection and reporting requirements under the Bank Secrecy Act
  • To discuss recent case studies

Who Will Benefit:

BSA/AML Officers, Compliance Officers, AML Analysts, Operations Managers, Remittance Analysts, Consultants, Internal Auditors, Accounting and Finance Directors, Internal Auditors, Legal Departments, Compliance Officers, and Risk Managers at Banks, Broker-Dealers, Residential Mortgage Lenders & Originators, Precious Gems Traders, Money Services Businesses and other nonbank financial institutions.

  • Risk Management
  • Legal
  • Regulatory
  • Compliance
  • Audit

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: cpe@complianceonline.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 cpe@nasba.org.

Field of Study:

  • Administrative Practice: 1.2 Credits
  • Auditing: 0.6 Credit
  • Business Management & Organization: 7.8 Credits
  • Communications: 2 Credits
  • Computer Science: 1.8 Credits
  • Personnel/HR: 0.6 Credit
  • Social Environment of Business: 1 Credit
  • Specialized Knowledge and Applications:2 Credits
  • Total CPE credits earned in this seminar: 17 CPE Credits

Program Delivery Method: Group-Live
Program Level: Basic
Advance Preparation/Program Prerequisites: None

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure
Day 01(8:30 AM - 5:00 PM)
  • Registration Process: 8:30 AM – 9:00 AM
  • Session Start Time: 9:00 AM
  • 9.00 AM - 12.00 PM: Understanding the Basics (3 Hours)
    • Money Laundering Basics
    • Regulatory Overview
      • U.S. Federal Regulating Agencies
      • History of U.S. Money Laundering Regulation
      • Bank Secrecy Act
      • USA PATRIOT Act
      • U.S. Federal Statutes
      • Role of Regulators & Expectations
    • The Four Pillars
      • Policies, procedures & internal controls
      • Appointment of Compliance Officer
      • AML Training
      • Independent Testing
    • Oversight & Management
      • “Tone at the Top”
      • AML Governance
      • Compliance Task Force
      • Fostering Partnerships in LOBs
  • 12.00 - 1.00 PM: Lunch
  • 1.00 PM - 4.30 PM: Managing Money Laundering Risk (3.5 hours)
    • Developing a Risk Assessment
      • Identifying high risk activities in the institution
      • Knowing your high risk customers
    • Customer Identification Program (CIP)
      • Conducting Customer Due Diligence (CDD)
      • Enhanced Due Diligence (EDD)
      • Know Your Customer (KYC)
    • Office of Foreign Assets Control (OFAC) & Sanctions Programs
      • Multinational Issues
      • History of Economic Sanctions Programs
      • Screening tools
      • Hits – Blocking & Rejecting
      • OFAC Risk Assessments
      • OFAC Reporting & Documentation
      • Enforcement Guidelines
Day 02(8:30 AM - 4:30 PM)
  • 8.30 AM - 8.35 AM: Welcome & Recap of Previous Topics
  • 8.35 AM- 10.35 AM: Monitoring & Reporting of Suspicious Activities (2 Hours)
    • Transaction Monitoring
      • Manual Vs. Automated
      • Managing & Fine Tuning Alerts
    • Investigate Protocols
      • Defining Suspicious Activity
      • Escalation & Referrals
      • Case Management
    • Reporting & Recordkeeping
      • CTR & CTR Exemptions
      • CMIR
      • Travel Rule / Funds Transfers
      • Monetary Instruments
      • FBAR
      • Form 8300
      • SARs
  • 10.35 - 11.15 PM: Repercussions (40-Minutes)
    • Failure to Comply
      • Criminal & Civil Penalties
      • Common Deficiencies Causing Enforcement
  • 11.15-12.00 PM: Case Studies (45-Minutes)
    • Case Studies
      • What Went Wrong?
      • Contrast & Compare
  • 12.00 PM - 12.45 PM: Lunch
  • 1.00 PM - 1.45 PM: Issues & Answers: Open Discussion (45-Minutes)
  • 1.45 PM - 4.15 PM: Workshop & Exercises (150 minutes)
  • 4.15 PM - 4.30 PM: Wrap Up
Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure
Laura H. Goldzung

Laura H. Goldzung
President and Founder of AML Audit Services, LLC

Laura H. Goldzung, CAMS, CFE, CFCS, CCRP is the President and Founder of AML Audit Services, LLC (“AMLAS”), a boutique consultancy specializing in independent testing of anti-money laundering compliance programs for bank and nonbank institutions, and serves as its principal examiner. In addition, her expertise includes custom training, and compliance consulting services, which includes design Bank Secrecy Act/Anti-Money Laundering and Anti-Fraud compliance programs, custom training, and compliance consulting services.

In a career spanning more than 35 years across multiple sectors of the financial services industry, Ms. Goldzung has worked in a variety of executive leadership roles. Since founding AMLAS, she has co-created sector-specific compliance officer certification programs and tours internationally presenting various AML/Fraud topics for industry-leading organizations, and has authored a number of articles on the topic of AML. Ms. Goldzung has worked with financial institutions that have been referred to enforcement for BSA/AML violations, helping them to bring their AML programs into compliance.

Ms. Goldzung serves as a dispute resolution arbitrator for the Financial Industry Regulatory Authority (FINRA) and contributes to multiple industry programs. She is active with several industry groups including the Association of Certified AML Specialists, Association of Certified Fraud Examiners, Association of Certified Financial Crime Specialists, National Society of Compliance Professionals, SIFMA Compliance & Legal Society and Institute of Internal Auditors. She serves on a variety of industry task forces and committees, and contributes to a number of compliance, industry and university education programs.

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure

Register Now

Online using Credit card

$1,099.00

Seminar One Registration

February 16-17, 2017, Tampa, FL
(For Registrations till December 20, 2016 - $1099)
(For Registrations till January 15, 2017 - $1199)
(For Registrations till January 30, 2017 - $1299)
(For Registrations after January 30, 2017 - $1499)

$1,899.00

Seminar One Registration (With 2 Nights Stay)

February 16-17, 2017, Tampa, FL

$5,099.00
$6,594.00 (22%)*

Save $1,495.00

Special Group Discount Register for Six attendees

February 16-17, 2017, Tampa, FL
*Hurry! This option is limited and based on availability.
Great Savings with Group Ticket!!! Only 3 left




The registration fee includes: the workshop; all related course materials; morning tea/coffee; lunch; Afternoon tea/coffee on both the days.


For discounts on multiple registrations, contact customer care at +1-888-717-2436.

Other Registration Option

By order form / PO#

Payment Mode

By Check -
Pay your check to (payee name) “MetricStream Inc” our parent company and Mail the check to:

ComplianceOnline (MetricStream, Inc),
2479 East Bayshore Road Suite 200
Palo Alto, CA 94303
USA

By Wire -

Register / Pay by Wire Transfer

Please contact us to get details of wire transfer option.

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 @ customercare@complianceonline.com

Payment:
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 $150 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 ($150) 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.

Online using Credit card

$1,099.00

Seminar One Registration

June 8-9, 2017, Los Angeles, CA
(For Registrations till December 20, 2016 - $1099)
(For Registrations till January 15, 2017 - $1199)
(For Registrations till January 30, 2017 - $1299)
(For Registrations after January 30, 2017 - $1499)

$5,099.00
$6,594.00 (22%)*

Save $1,495.00

Special Group Discount Register for Six attendees

June 8-9, 2017, Los Angeles, CA
*Hurry! This option is limited and based on availability.
Great Savings with Group Ticket!!! Only 3 left




The registration fee includes: the workshop; all related course materials; morning tea/coffee; lunch; Afternoon tea/coffee on both the days.


For discounts on multiple registrations, contact customer care at +1-888-717-2436.

Other Registration Option

By order form / PO#

Payment Mode

By Check -
Pay your check to (payee name) “MetricStream Inc” our parent company and Mail the check to:

ComplianceOnline (MetricStream, Inc),
2479 East Bayshore Road Suite 200
Palo Alto, CA 94303
USA

By Wire -

Register / Pay by Wire Transfer

Please contact us to get details of wire transfer option.

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 @ customercare@complianceonline.com

Payment:
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 $150 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 ($150) 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.

Location 1:

Tampa, FL
(Venue to be announced shortly)

February 16-17, 2017

Location 2:

Los Angeles, CA
(Venue to be announced shortly)

June 8-9, 2017

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure

Testimonials

All topics were valuable. Laura was an excellent presenter. She has lot of excellent practical job experience in AML and gave good real life examples from her own experience. I learned a lot! Very nice portfolio and pen provided. Also the presentation on thumb drive was nice one. I appreciate the variety of courses (On-line & In- Person) provided by ComplianceOnline.

Senior Auditor,

Federal Reserve Bank of Atlanta

The presenter was very knowledgeable with the topic. Risk assessment topic was very valuable because it is the cornerstone of an effective AML program.

Audit Manager,

American International Group

The presenter was excellent session leader, very knowledgeable and well-spoken. The topic was well chosen and interaction between the participants and the presenter was good.

Assistant Treasurer,

Cumberland Gulf Group of Companies

The presenter was very knowledgeable and subjects were well chosen.

AML/BSA/OFAC Officer,

GE Capital Retail Bank

Overall it was good seminar. The topic AML monitoring was very valuable as it pertains to my job function.

Senior BSA/AML Analyst,

AVP, Texas Capital Bank

The presenter was knowledgeable. The topic on Oversight & Management was most valuable; it gave me a big picture.

Branch Manager,

Bank of China, Chicago Branch

It was good seminar. The topic on reporting forms was most valuable.

Deputy Chief Compliance Officer,

American International Group

It was a good baseline. All topics were very valuable and informative.

Senior Product Manager,

ACI Worldwide

The presenter was very knowledgeable. Understanding the basic topic was very informative.

Lead - Business Risk & Fraud Analyst,

Federal Reserve Bank

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure
Media Partners
Platinum Partner
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  • Moving banner ad on the website
Gold Partner
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  • Moving banner ad on the website
Silver Partner
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  • Logo placement on the podium
  • Logo on the lanyards for all speakers
  • Exclusive stall at the entrance
  • A full page brochure advert
  • Moving banner ad on the website
Bronze Partner
  • Logo on promotional email campaign
  • Logo on name cards
  • A half page brochure advert
  • Exclusive stall at the entrance
  • A quarter page brochure advert

If you wish to partner with us for this event please contact us: partner@complianceonline.com or call us: +1-888-717-2436.

Sponsors
Platinum Partner
  • Logo on name cards
  • Logo placement on the podium
  • Logo on the lanyards for all speakers
  • Exclusive stall at the entrance
  • A full page brochure advert
Gold Partner
  • Logo on promotional email campaign
  • Logo on name cards
  • A half page brochure advert
  • Exclusive stall at the entrance
  • A quarter page brochure advert
  • Moving banner ad on the website
Silver Partner
  • Logo on name cards
  • Logo placement on the podium
  • Logo on the lanyards for all speakers
  • Exclusive stall at the entrance
  • A full page brochure advert
  • Moving banner ad on the website
Bronze Partner
  • Logo on promotional email campaign
  • Logo on name cards
  • A half page brochure advert
  • Exclusive stall at the entrance
  • A quarter page brochure advert
  • Moving banner ad on the website

If you wish to sponsor this event please contact Cruise Webster: cwebster@complianceonline.com or call us: (207) 576-4173

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Museum of Science

Museum of Science & Industry (MOSI)

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Salvador Dali Museum

Salvador Dali Museum

Housing the largest collection of Salvador Dali works in the world, the museum offers a regularly changing exhibit of the legendary surrealist artist's melting-watch canvases and a wide variety of his sculpture and fiber objects that are, at the very least, intriguing. One memorable creation toasts the cocktail party; it is a vest covered with full glasses of creme de menthe. Daily tours seek to explain this complex man and his equally complex art. In the museum store you can select a memento of your surreal experience. Do check the website or call for timings.

Tampa Museum of Art

Tampa Museum of Art

Established in 1979, this museum houses more than 4,500 objects in its permanent collection and exhibits the largest collection of Greek and Roman antiquities in the Southeast. The Center Gallery displays themed exhibitions from the permanent collection. For a look at 19th and 20th century sculpture set against the backdrop of the Hillsborough River, visit the Terrace Gallery. Stroll through the Outdoor Courtyard featuring contemporary sculptures, fountains and bronze work. For gifts, books, children's items or home accessories, stop by the museum store.

Craftsman House

Craftsman House

Craftsman House is a gallery that showcases contemporary art works. The lush green lawns and beautiful garden welcome visitors in to this creative space. Owned and managed by Stephanie Schorr, it is a gallery-cum-working studio. Here, you will see umpteen art works displayed; jewelry, glass designs and much more work of local and national artists make for its splendid collection. It also has an on-site café serving delicious short eats and variety of beverages including beer and wines. Apart from the art works, Craftsman House also has a pottery studio that features colorful mugs, pots, vases and other wares that will adorn your living room. The innovative designs and art pieces are truly worth a look; so go ahead and visit the Craftsman House soon.

Local Attractions of Los Angeles, CA

Griffith Observatory

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Universal Studios Hollywood

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Universal Studios Hollywood is a movie studio and theme park in the Los Angeles County, California, United States. It is one of the oldest and most famous Hollywood movie studios still in use. Its official marketing headline is "The Entertainment Capital of LA", though during the summer it is often advertised as "The Coolest Place in LA. It is the first of many full-fledged Universal Studios Theme Parks located across the world.

Los Angeles County Museum of Art

Los Angeles County Museum of Art

The Los Angeles County Museum of Art (LACMA) is the largest art museum in the western United States. It attracts nearly a million visitors annually. Its holdings of more than 100,000 works span the history of art from ancient times to the present. In addition to art exhibits, the museum features film and concert series.

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