Post

2017 BSA/AML Workshop
Paradise Point Resort & Spa • San Diego, CA

BSA/AML continues to be a heightened area of concern for agencies, a trend that is expected to continue in 2017.

Agencies have put a renewed focus on making sure banks know their customers’ entire banking relationship, as well as assess their existing and future risk. Banks failing to do the appropriate due diligence on a customer to comply with the Bank Secrecy Act could be symptomatic of broader compliance problems, including a violation of consumer protection laws.

Most banks already have comprehensive systems in place to track suspicious activity. But knowing each customer and how to assess individual risk is more dependent on human judgment, and cannot be easily outsourced to a support system. Some observers said banks may have to improve their training of personnel to look deeper for potential violations.

Held in conjunction with the 39th Annual Regulatory Compliance Conference, registered attendees of the BSA workshop are welcome to attend the opening keynote general session and reception held Tuesday evening.

Paradise Point Resort & Spa Video

Agenda*

*Subject to change

Tuesday, October 3, 2017

9:30 am – 4:30 p.m. Registration Open
9:45 a.m. – 10:45 a.m. Current Challenges in BSA/AML Compliance
Alexander D. Seddio
Principal & Founding Member
Anti-Money Laundering Specialists LLC (“AMLS”)
10:45 a.m. – 11:00 a.m. Morning Break
11:00 a.m. – 12:00 p.m. Three Lines of Defense: Integrating Compliance Across the Organization
Cynthia Boehmer
Compliance Consultant
Wolf & Company, P.C.
12:00 p.m. – 1:00 p.m. Working Lunch Presentation
Presented by Verafin
1:00 p.m. – 2:30 p.m. BSA/AML Workshop – Part I
Ruth L. Razook
Founder & CEO
RLR Management Consulting, Inc.
 - & -
Neva McCormick
Senior Associate Consultant
RLR Management Consulting, Inc.
2:30 p.m. – 3:00 p.m. Refreshment Break
3:00 p.m. – 4:30 p.m. BSA/AML Workshop – Part II
Ruth L. Razook
Founder & CEO
RLR Management Consulting, Inc.
 - & -
Neva McCormick
Senior Associate Consultant
RLR Management Consulting, Inc.
4:30 p.m. – 5:00 p.m. Refreshment Break
5:00 p.m. – 6:00 p.m. Opening Keynote Presentation
Stress Proof Your Brain
Jenny Evans
CEO
PowerHouse Performance
6:00 p.m. – 7:00 p.m. Welcome Reception
Sponsored by Verafin

Speakers

Alexander D. Seddio, Principal & Founding Member | Anti-Money Laundering Specialists LLC (“AMLS”)

Mr. Seddio is a founding member (2003) and principal in the consulting firm of Anti-Money Laundering Specialists LLC (“AMLS”). He specializes in providing expert anti-money laundering and counter-terrorist financing regulatory compliance consulting services to the financial services industry.  Prior to founding AMLS, he served as Director of the Forensic and Litigation Services practice of KPMG, LLP in San Francisco.  Mr. Seddio began his career as a special agent with the Criminal Investigation Division of the Internal Revenue Service where he became widely recognized as one of the government’s leading figures in the effort to combat the laundering of criminal proceeds through the U.S. financial system.  During his tenure as a federal agent he qualified as an expert witness in U.S. District Court in the areas of financial investigation, money laundering and asset forfeiture and has testified as such on numerous occasions. He has served as a member of the Board of Directors of Mission National Bank N.A. in San Francisco for the past three years.  Mr. Seddio is a graduate of New York University and served four years in the U.S. Marine Corps, including two tours of duty in the Republic of Vietnam.

Cynthia Boehmer, Compliance Consultant | Wolf & Company, P.C.

Cynthia Boehmer is a supervisor in the WolfPAC solutions group, where she is responsible for the research, creation and maintenance of the compliance laws and regulations found in the regulatory compliance module of WolfPAC and ensuring their accuracy. Additionally, she serves as a resource to the compliance consultants and aid in product implementation and testing. Prior to joining WolfPAC, she worked as a contractor with Promontory Financial Group. Her expertise is in facilitating and assisting financial institutions with performing regulatory compliance risk assessments for regulations such as Bank Secrecy Act, TILA and RESPA.

Ruth L. Razook, Founder & CEO | RLR Management Consulting, Inc.

Ruth L. Razook is Founder and CEO of RLR Management Consulting, Inc. In 1988, she founded RLR to serve community banks primarily in the southern California region. RLR is now a nationwide consulting firm focused on providing high quality consulting assistance to financial institutions in the areas of corporate strategy, organizational analysis, operations and project management, information technology and payments.

Neva McCormick, Senior Associate Consultant | RLR Management Consulting, Inc.

Neva McCormick, a Senior Associate Consultant of RLR Management Consulting, Inc., has over 24 years’ experience in the financial industry in key roles including SVP, CFO, Controller, IT Manager and Operations Manager. She has comprehensive experience in financial and managerial accounting, operational and BSA/AML audits and programs, budgeting, financial reporting and analysis, contract negotiation and oversight, IT management, project management and strategic planning.

Jenny Evans, CEO | PowerHouse Performance

Jenny is a speaker, award-winning author and on-air expert on resiliency, stress, confidence and human performance. She is founder and CEO of PowerHouse Performance and author of the award-winning book The Resiliency rEvolution: Your Stress Solution for Life – 60 Seconds at a Time.

Working with thousands of C-suite executives, leaders and employees worldwide, Jenny’s dynamic presentations move audiences to define and achieve success in both business and life…all in the face of the unrelenting demands of being a human in the 21st century. Audiences tap into their personal power and confidence, as well as learn how to increase their capacity for stress and to recover from it more quickly and effectively. Clients improve their performance and productivity, all while enhancing their health.

Jenny has spoken on the TEDx stage, writes as a blogger for The Huffington Post and was NBC KARE 11’s Health & Fitness expert for over four years. She has been quoted on National Public Radio, in Health Magazine and Women’s Health, while being showcased on FastCompany.com, Inc.com, Entrepreneur.com, Shape.com and Elle.com.

She holds a Bachelor of Science in Kinesiology with an emphasis on Psychology from the University of Minnesota, has been an American Council on Exercise Certified Personal Trainer and Group Fitness Instructor for over 20 years, and is a certified Exercise Nutritionist. In her spare time she is a competitive athlete, races duathlons and is an aerial arts performer…because you never know when you’re going to need a backup plan.

Session Descriptions

Current Challenges in BSA/AML Compliance

In this session, Alex Seddio, Principal and Founding Member of AMLS, will discuss the current issues that banks need to focus on in order to stay out of trouble in these difficult times.

  Alexander D. Seddio
  Principal & Founding Member 
  Anti-Money Laundering Specialists LLC (“AMLS”)

Three Lines of Defense: Integrating Compliance Across the Organization

The changing regulatory landscape has introduced increased focus and heightened expectations for financial institutions around risk management and compliance risk management. Building a strong compliance culture and program starts with strategic planning built with the input from frontline units, compliance units and audit. Look at how an integrated compliance risk management program can work for your bank.          

  Cynthia Boehmer
  Compliance Consultant
  Wolf & Company, P.C.

BSA/AML Workshop Part I & II

Over the past year, regulators continued to actively examine compliance, introduce new and heightened requirements and aggressively pursue enforcement. In 2016, regulators focused on strengthening anti-money laundering protections. A new BSA/AML rule was announced by the Financial Crimes Enforcement Network (FINCEN). The rule creates new requirements for customer due diligence and identification of beneficial owners – priorities that are likely to be at the top of the examination agenda, as compliance with the new rule becomes mandatory in 2018.

Banks will need to be aware of not only the new rule, but also train staff and be prepared to implement changes to their programs to ensure compliance.

Come, hear and discuss the “Regulatory Hot Buttons and Best Practices for your BSA Compliance Program” other bankers and industry experts.           

  Ruth L. Razook
  Founder & CEO
  RLR Management Consulting, Inc.

  Neva McCormick
  Senior Associate Consultant
  RLR Management Consulting, Inc.

Stress-Proof Your Brain

We are not just affected mentally and emotionally by stress – it radically alters the chemistry and physical structures of our brains. Stress diminishes our cognitive function while increasing negative emotional states. It makes portions of the brain relating to fear, anxiety and aggression larger and more active. It also kills cells in the brain related to decision-making, focus, attention, memory, learning, and our ability to accomplish goals. We literally lose our minds when we’re stressed and it keeps us from performing well at our jobs and at home.

Stress-Proof Your Brain will help you understand what happens to your brain and cognitive function during and after stress. This comprehension will help you hone in on how it’s affecting your performance, both professionally as well as personally. More importantly, you will learn how to counteract the negative effects as well as boost your brainpower and positive mood states. You will be able to stay focused, make strategic decisions, have sound judgment and not be a victim of anxiety in the face of stress. In the process, you will also improve your energy, fitness, sleep and resiliency.

  Jenny Evans
  CEO
  PowerHouse Performance

Who Should Attend

  • Auditors
  • BSA officers
  • Compliance officers
  • Operations officers
  • Risk/Fraud officers
  • Regulators
  • Counsel

Location

Paradise Point Resort & Spa
1404 Vacation Road
San Diego, CA 92109
Phone: (858) 581-5900

Hotel accommodations can be made by calling the Paradise Point reservations department at (800) 344-2626. The CBA rate is $199, single or double occupancy, plus taxes and fees. In addition to the room rate there will be a discounted daily Passport to Paradise fee of $16 (normally $32 per room, per night). This includes: High speed wireless and hard-wired Internet access in guest rooms, domestic phone calls in guest rooms, unlimited access to Fitness Center, Basketball, Tennis, Ping Pong, Croquet, Horseshoes, and Bocce Ball.

Rooms are limited, please make your reservations by Friday, September 1, 2017. If the CBA room block reaches capacity before this date, the hotel may accept reservations on a space-available basis at the prevailing rates.

Overnight Parking is discounted to $19 per car, per night. (Normally $38 per car, per night)

Paradise Point Hotel & Spa Video

CE Credit

Certified Regulatory Compliance Manager (CRCM)
The conference sessions will be submitted to the ICB for CE credit review.

For the Certified Regulatory Compliance Manager designation, only members certified by the ICB are required to report ICB credits. For more information, click here.

The Association of Certified Anti-Money Laundering Specialist (ACAMS)
The conference sessions will be submitted to the Association of Certified Anti-Money Laundering Specialists (ACAMS) for CE credit review. For more information on CAMS credits, click here.

Registration 

Early Bird Registration before September 1, 2017

CBA Member Bank $395
Spouse $175

Regular Registration

CBA Member Bank (after September 1, 2017) $595
Non-Member Bank $795
CBA Affiliate Member $995
Spouse $175

If you have any registration questions, please contact:
Colette Warner
Administrative Coordinator
cwarner@calbankers.com
(916) 438-4418

Cancellation Policy

Substitutions are allowed, at no additional cost. Written notice is required for all substitutions/cancellations. The full registration fee will be refunded if written notice is received by September 5, 2017, and 50 percent if by September 19, 2017. No refunds will be provided after September 19, 2017. Registrations made on or after September 19, 2017 are not subject to refund.

Sponsors & Exhibitors

The Marketplace Information Brochure, which details available sponsor and exhibitor opportunities is coming soon. For more information, please contact Rosemary Mignano at (916) 438-4435. 

CBA offers a wide selection of opportunities designed to match your exposure needs and budget.

A few reasons your organization should sponsor and/or exhibit:

  • Maximize your company’s brand awareness and increase your market position
  • Gain direct access to CBA member banks and institutions in an exclusive environment
  • Raise your profile above your competitors
  • Learn about the issues confronting today’s financial service leaders and gain valuable insight into potential solutions
  • Shape or reinforce a positive perception of your company with California’s bank executives
  • Support the California Bankers Association, the largest non-profit banking organization serving the California financial services industry

General Information

Compliance Professional of the Year Award
The Regulatory Compliance Committee will announce the recipient of the 2017 Compliance Professional Award. This award recognizes dedication to excellence, leadership and advancement of the compliance profession and service to the banking industry.

Dress Code and Weather
The attire for the duration of the conference is business casual. Temperatures in the San Diego area range from the low-70°F during the day, to low-60°F in the evening.

Evening Events
Please join us for several opportunities to relax, enjoy good food and network with your colleagues in the industry. Our evening events include receptions on Tuesday, Wednesday and Thursday. Exhibitor prize drawings will be held Thursday evening.

Spouse Attendees
Registration for spouse attendees includes all meal functions and social activities. Spouses are welcome to enjoy the many amenities of the resort.

Special Dietary and Physical Requirements
If you have any special dietary or physical requirements, please notify CBA in advance, if possible. Onsite, please stop by the CBA registration desk and we will do our best to accommodate your requests.

Commands