Compliance and Compliance Technology Training

Compliance and compliance technology training tend to be generic and focus on theory rather than practical applications. Our training is custom tailored to your financial institution’s unique business lines, customer base, and other anti-money laundering (AML) risk exposures.

Some recent training and speaking engagements include the following:

  • AML Data Analytics: Trends and Best Practices - This training was delivered on-site in Kuala Lumpur, Malaysia and the attendees were from financial institutions, regulators, and public entities.

  • Compliance Systems Overview - This training was delivered to a large corporate client in New York City.

  • Sanctions Compliance - The Sanctions Screening module for the Sanctions Compliance course was developed with members from the Association of Certified Anti-Money Laundering Specialists (ACAMS).

  • Implications of FinTech Developments on Anti-Money Laundering Ecosystem - This presentation was given at an AML conference in Halifax, Canada and focused on examining current trends in compliance given the fast pace of technology change.

  • In a World of Ghosts and Mirrors, Your “Customers” May Not Be Who They Say They Are - This presentation was given at the Future of Finance Summit in Singapore and highlighted the complexity of global corporate ownership structures and the difficulty of trying to identify their beneficial owners.

  • The SWIFT Transparency Problem - This presentation was given in Toronto, Canada and highlighted the data challenges of monitoring SWIFT data for AML programs.

  • How to Conduct an AML System Assessment - This was the 2nd part of the presentation in Toronto, Canada and was developed to engage a non-technical audience about the nuances of an AML system assessment.


Compliance Training

  • AML and Sanctions Compliance Program Framework

  • Regulatory Exam Management and Expectations

  • Challenges of an OFAC Sanctions Compliance Program

  • Establishing a Governance and Oversight Program

  • Compliance and Ethics

  • AML/Sanctions Risk Assessment Methodology

  • AML/Sanctions Model Risk Management Framework

  • FinCEN's CDD and Beneficial Rule

  • Implementation and Maintenance of a Transaction Monitoring Program DFS Part 504

  • A deep dive into trade-based money laundering (TBML)

  • Customer due diligence (CDD) and customer risk profiles

  • Customer risk rating (CRR) methodologies

  • Risk Assessment methodologies - how to create a methodology suitable for the institution’s risk and data capabilities

  • What the enforcement action landscape teaches us

  • Investigative process - components of an effective investigate process

  • Suspicious Activity Report (SAR) Writing - how to complete and write effective SARs

  • Board training - training tailored to board of directors

  • AML topics for lenders

Compliance Technology Training

  • AML Compliance and Information Technology

  • AML and Advanced Data Analytics

  • Emerging trends in AML (cryptocurrency, transaction laundering, nexus of fraud and money laundering)

  • How to tune a transaction monitoring system (TMS)

  • The data and algorithm challenges of AML monitoring for correspondent banking

  • A deep dive into the complexity of name screening for sanctions compliance

  • How to evaluate an artificial intelligence (AI) and machine learning (ML) vendor

  • How to build a framework for ongoing data validation

  • How to build CRR methodologies from an information processing perspective

  • Establishing data standards across the enterprise

  • An overview of the fast-moving Fintech landscape

  • An overview of the fast-moving Regtech landscape

How to conduct an anti-money laundering (AML) system assessment