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Anti Money Laundering (AML) Compliance: Tackling the Changing Regulations and Compliance Issues


Date: Wednesday, August 7, 2013
Time: 8 am Pacific | 11 am Eastern
Duration: 1 hour

With the recent rise in regulatory oversight, executives and the boards require clear visibility into risk exposure and compliance status to effectively manage the organization's long-term strategies. As a result, companies need a systemic approach to ensure accountability and transparency, to manage and mitigate risks, and to build customer and shareholder confidence. One such major compliance area of focus for these banks in Anti Money Laundering (AML).

In the last few years, many of the large banks and other financial institutions have been penalized for their lack of effectiveness in tackling and tracking Anti Money Laundering (AML). Banks have now realized that the impact of Money Laundering on their reputation and business objectives are extremely significant and potentially irreparable. AML laws and compliance requirements have not only scrutinized financial institutions, but also led the risk officers to take a re-look at their processes, resources, and technology. Financial Institutions today have realized the importance of technology to address AML and Anti-fraud management needs across the enterprise. Join us to learn more about what is new in Anti-Money Laundering laws and regulations, challenges corporations face to meet them and how corporations leverage technology to manage their AML activities and initiatives.

The session will also discuss the following points:

  • Impact of money laundering in financial industry
  • Recent trends and developments in AML compliance
  • Identifying key challenges in addressing AML issues in today’s environment
  • Need for an effective AML solution to manage and meet AML Compliance requirements

Panelists

Catalina Rey - Chief Compliance Officer, Bigsur Partners LLC

Ms. Rey is the Chief Compliance Officer at Bigsur Partners and has over 10 years of experience in this field, working in prestigious financial institutions. At Bigsur, Ms. Rey oversees all aspects of the firm’s compliance, both with regulations as well as with internal policies. She is an Attorney and holds a Master of Law in Taxation (LLM) from the University of Miami (2005). She also has broad experience dealing directly with the main US regulators like SEC, FINRA and the Fed. Ms. Rey holds the Series 7 license and was the Anti-Money Laundering Compliance Officer of a Standard Chartered Broker Dealer (2008-2011).

Subharun Mukherjee - Manager - Product Marketing, MetricStream

Mr. Mukherjee leads the marketing efforts for the banking and financial services vertical offerings within MetricStream. Mr. Mukherjee has over 8 years of experience primarily in strategic consulting, sales and marketing. He was associated with the strategy and risk consulting practice for one of the big 4 consulting firms and have been engaged with multiple Fortune 500 organizations in the BFS industry in this capacity. Over the years he have also held management positions driving sales and marketing efforts for enterprise software and services companies like SAP and Wipro. Mr. Mukherjee holds a Master’s in Business Administration majoring in Finance and Marketing from the Indian School of Business in Hyderabad.


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