Education Seminar

2015 BSA/AML
Certificates of Completion (continuing education credits)

Hyatt Regency Newport Beach

Below is the 2015 BSA/AML agenda for your review. To the right (under resources) are Certificates of Completion for each participant that signed in at the session in Newport Beach. The file name includes the participant name for an easy lookup. 

If you have any questions, please contact Glenn Younger at gyounger@calbankers.com. 

Agenda

The session will run from 8:20 a.m. to 5:00 p.m., with breakfast provided at 7:30 a.m. and lunch at 12:15 p.m.

8:20 – Welcome & Introductions

8:30 – Keynote Address

  • Jim Richards, Executive Vice President, BSA Officer, Financial Crimes Risk Management, Wells Fargo & Company (Walnut Creek Only)
  • Diego Rosero, Senior Regulatory Outreach Specialist, Office of Strategic Policy, FinCEN (Newport Beach Only)

9:30 – Independent Audits

  • Tammi Steadman, Bank Examiner, Office of the Comptroller of the Currency
  • Kimberly Schaeffer, BSA/AML Examiner, Office of the Comptroller of the Currency (Newport Beach Only)

      Understanding Your Risks in a BSA Independent Audit

  • Hoi Luk, Senior Manager, FI Regulatory Consulting, Moss Adams

This presentation will focus on the due diligence aspects of selecting and reviewing a third party vendor to conduct the financial institution’s BSA/AML/OFAC program. What questions should you be asking and where are the potential weakness and gaps in the independent test.

10:15 – Networking Break

10:30 – Homeland Security Investigations (HSI) for U.S. Immigration and Customs Enforcement (ICE)

       HSI Financial Investigations and SARs:

  • Michael Delaney, Special Agent (Walnut Creek Only)

       Homeland Security Investigations/Cornerstone Overview:

  • Christopher Kuemmerle, Acting Assistant Special Agent in Charge (Newport Beach Only)
  • Nathan Burnham, Special Agent (Newport Beach Only)

Discussions will include an introduction on HSI and its related money laundering investigations, a discussion of SARs, red flag indicators, case studies, trends, and how BSA materials support on-going criminal investigations.

 

11:30 – Suspicious Activity Reporting (SARs)

  • Christy Cornell-Pape, Case Manager – Special Activities, FDIC

12:15 – Lunch

1:15 – Human Trafficking: How Financial Institutions Can Help

  • Rob Norris, Customer Success Manager, Verafin
  • Paul Gauci, Verafin

2:00 – Networking Break

2:15 – System Validation

  • Christy Cornell-Pape, Case Manager – Special Activities, FDIC

3:15 – 2015 CDD & EDD Challenges

  • Tammi Steadman, Bank Examiner, Office of the Comptroller of the Currency
  • Kimberly Schaeffer, BSA/AML Examiner, Office of the Comptroller of the Currency (Newport Beach Only)

4:00 – Emerging Trends

  • Christy Cornell-Pape, Case Manager – Special Activities, FDIC
  • Tammi Steadman, Bank Examiner, Office of the Comptroller of the Currency
  • Kimberly Schaeffer, BSA/AML Examiner, Office of the Comptroller of the Currency (Newport Beach Only)

5:00 – Adjourn

Commands