Session Information
ABA Money Laundering Enforcement Conference
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Tackling AML Examinations: From Start to Finish and Beyond
Track
:
October 11, 2009
Program Code:
020
Date:
Sunday, October 11, 2009
Time:
1:30 PM to 2:45 PM
EST
Location:
Virginia Suites
MODERATOR
:
Amy G. Rudnick, Partner, Gibson, Dunn & Crutcher LLP, Washington, DC
SPEAKER
(S):
John J. Byrne, President, Condor Consulting LLC, Centreville, VA
Daniel P. Stipano, Deputy Chief Counsel, Office of the Comptroller of the Currency, Washington, DC
Judith Gruenbaum, Compliance Managing Director/Senior Vice President, Corporate AML Compliance. JPMorgan Chase , New York, NY
Description
Navigating through an AML exam can pose challenges on many fronts: Preparing for the exam; managing the process, the response, and expectations; maintaining ongoing communications with the regulators; fully engaging the Board and senior management; mitigating exam findings; and keeping AML compliance a priority in difficult economic times.
This session will cover the gamut from:
• Preparing the bank AND the examiners;
• Keeping the board and senior management advised of critical developments;
• Communicating effectively with the regulators;
• Learning from mistakes from previous exams and peers;
• Educating employees of the importance of compliance;
• Working with business lines, Compliance, Legal, Operations and Audit;
• Developing and executing an effective mitigation plan;
• Recovering from a bad exam;
• Your questions.
This session will cover the gamut from:
• Preparing the bank AND the examiners;
• Keeping the board and senior management advised of critical developments;
• Communicating effectively with the regulators;
• Learning from mistakes from previous exams and peers;
• Educating employees of the importance of compliance;
• Working with business lines, Compliance, Legal, Operations and Audit;
• Developing and executing an effective mitigation plan;
• Recovering from a bad exam;
• Your questions.
Audio Synchronized to PowerPoint
(Code: 020)
This session is a part of:
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