CA Conference: NA

Designing Compliance

for the Future

The Agenda is now Live!

Compliance doesn’t have to be painful. Join us to find out how.

Virtual Conference
This year’s conference will be happening virtually, as well as being available on demand for one month afterwards to ticket holders. So wherever you are joining us from in the world there will be opportunities to meet experts, network and see demos at a time that works for you.

  • Exploring the state of compliance in 2020 and beyond
  • Upgrading your AML compliance in changing times
  • Examining the true human costs of money laundering
  • Looking inside the mind of money launderers and learning from the criminals getting away with it

DATE

Tuesday | Nov 10, 2020

TIME

12:00 – 3:30 PM ET

LOCATION

Virtual Event

TICKETS

General Admission: Complimentary

For complimentary client and partner tickets, contact events@complyadvantage.com

Our Speakers

Charles Delingpole is a technology entrepreneur with over 10 years of executive experience in the financial services space across the U.S., Europe and Asia.
Previously he was the Co-Founder and CEO of MarketFinance, a corporate financial solutions company that has raised over $59M in funding, and before that he was an investment banker at J.P. Morgan Cazanove. Charles also founded the world’s largest student discussion forum The Student Room Group when he was 16. He holds an MA in Politics from Trinity College Cambridge and an MSc in Management, Strategy, and Finance from the LSE.[/ultimate_modal]

Charles Delingpole

Founder & CEO ComplyAdvantage

Vatsa Narasimha is the COO & CFO of ComplyAdvantage and has deep expertise in operating and driving growth in financial institutions and fintechs. Prior to ComplyAdvantage, Vatsa was the President and CEO of OANDA Corporation. Vatsa joined OANDA from The Boston Consulting Group. He holds a MS in Electrical Engineering from Cornell University and an MBA from The Wharton School of the University of Pennsylvania.
Over 99% of money laundering is successful, ComplyAdvantage is working to stop it completely. Founded in 2014, ComplyAdvantage works with over 500 enterprise clients across 75 countries. Backed by Index Ventures and Balderton Capital, ComplyAdvantage has four global hubs in New York, London, Cluj-Napoca, and Singapore.[/ultimate_modal]

Vatsa Narasimha

COO & CFO, ComplyAdvantage

 
ROBERT has earned global acclaim as one of the world’s leading experts on the financial escapades of the underworld. There is no one with more first-hand knowledge about how international banks and businesses cater to those who own the nearly $2 trillion in criminal proceeds laundered annually. For years, in the eyes of organized crime leaders, he was a highly successful mob-connected money launderer that helped manage their illicit fortunes. His clients, some of the most famous and deadly drug cartel bosses, offered a $1/2 million price tag for his head when arrests were made around the world and he was revealed to be a highly-trained U.S.federal undercover agent.
Robert is the New York Times bestselling author of The Infiltrator, a memoir about his undercover life, much of which was spent acting as a conduit between ruthless drug barons and corrupt legitimate appearing senior executives that cleaned billions in blood-stained money through otherwise respectable international banks and businesses. Robert has transformed his underworld experience and current-day involvement in the money laundering field into a remarkable lesson for today’s business sector. He shares unique insights about how to build a team to identify and manage the type of risk that could otherwise inflict costly reputation loss for institutions, like those that have in recent years entered into Deferred Prosecution Agreements or otherwise been prosecuted for criminal offenses in connection with their movement of tainted funds.
After completing a highly decorated 27-year career as a federal agent in 3 U.S. agencies, Robert is now the President of KYC Solutions, Inc., a firm that provides speaking, expert witness, and consulting services to companies worldwide.[/ultimate_modal]

Robert Mazur

The Infiltrator

 
Adam Fear is a Sr. Compliance Program Manager-BSA/AML and Sanctions Officer at Affirm Inc. a San Francisco-based financial services company. He is responsible for the implementation and design of the BSA/AML and Sanctions Programs for Affirm’s Compliance department.
Previously, Adam served as a Bank Examiner in Large Bank Supervision for the Office of the Comptroller of the Currency (OCC). Adam led full scope BSA/AML and OFAC examinations at some of the U.S.’ most complex institutions including international investigation reviews in Switzerland, Hong Kong, and Sri Lanka. Additionally, Adam examined one of the first nationally chartered banks accepting marijuana businesses.  Prior to the OCC Adam also served as the Risk Officer at a community bank in Missouri. As a Risk Officer, Adam participated in a forensic audit and led the enterprise risk assessment process.
Adam grew up in St. Louis, Missouri, and earned a degree in Accounting from the University of Missouri-St. Louis. Adam also holds certifications as a Certified Anti-Money Laundering Specialist (CAMS) and Certified Fraud Examiner (CFE).[/ultimate_modal]

Adam Fear

Senior Compliance Manager, Affirm

Sarah is General Counsel, Chief Compliance Officer, and founding team member at One, a digital banking service that has combined spending, saving, sharing, and borrowing into one account. Before joining One, Sarah was GC/CCO at Azlo, a bank-owned tech company providing banking services to small businesses, and Head of Compliance at Blend, a Silicon Valley digital application platform for banking products. Before moving to SF, Sarah worked at the Office of the Comptroller of the Currency, Buckley law firm, and Promontory Financial Group in Washington, DC. In addition to enjoying law and fintech, Sarah is a pianist and poet.[/ultimate_modal]

Sarah Elliot

General Counsel & CCO, One Financial

Naomi Karp is a Consulting Research Scholar at the Stanford Center on Longevity and consults on aging and law for other educational, governmental and non-profit clients.  She is a lawyer and policy expert who has worked on aging issues for over 35 years.  Her areas of focus include elder financial exploitation, health and financial decision-making, the impact of cognitive changes, and family caregiving.
Until October 2019, Karp was Senior Policy Analyst at the Consumer Financial Protection Bureau’s Office for Older Americans where she helped set the Office’s priorities when the agency opened in 2011.  At the Bureau, Karp was the team lead for the Managing Someone Else’s Money guides for financial caregivers; a manual for long-term care facilities on protecting residents; and the agency’s work with financial institutions on preventing and responding to elder financial abuse.  Karp co-authored the Bureau’s 2019 analysis of Suspicious Activity Reports filed by financial institutions with the federal government on suspected elder fraud cases.
Previously Karp worked on a spectrum of aging issues at the American Bar Association Commission on Law and Aging and at AARP’s Public Policy Institute.  She began her career as a legal services attorney for low-income and older clients. She received her JD from Northeastern University School of Law and her BA from the University of Michigan.[/ultimate_modal]

Naomi Karp

Consulting Research Scholar, Stanford Center, AARP

 

Liz Loewy is the Co-Founder and Chief Operating Officer at EverSafe, a technology platform that monitors the financial health of older adults and family members for fraud, identity theft, and age-related issues. A graduate of the University of Pennsylvania and Albany Law School, Liz was a prosecutor in the New York County District Attorney’s Office under District Attorneys Robert M. Morgenthau and then Cyrus R. Vance, Jr. before joining EverSafe in 2014. In the DA’s office, she oversaw the Domestic Violence Unit before spearheading the development of the Office’s first Elder Abuse Unit, where she oversaw 16 attorneys who prosecuted approximately 800 elder abuse cases, annually.

In 2009, Ms. Loewy served as trial counsel in the high-profile trial involving the late philanthropist, Brooke Astor, against her only son, Anthony Marshall, and his attorney, Francis Morrissey. The trial resulted in convictions as to both defendants.

Liz’s current position at EverSafe enables her to further her passion for helping seniors and caregivers by focusing on how fintech can prevent, identify, and resolve fraud in later life. She is currently EverSafe’s subject matter expert on the issue of elder exploitation and assists in the development and management of product and service offerings, marketing strategy, and system testing. She also serves as EverSafe’s liaison to partners including banks, investment firms, law firms, government agencies, and health and aging organizations.

Ms. Loewy participated in the country’s first National Policy Summit on Elder Abuse in Washington, DC in 2001. She spoke at the last White House Conference on Aging in July of 2015. In 2019, she was a speaker at the Milken Institute’s Global Conference, and has lectured on the subject of elder financial abuse at conferences in the US and Europe, including those hosted by the Financial Industry Regulatory Authority, the North American Securities Administrators Association, the American Bankers Association, the Association of Certified Anti-Money-Laundering Specialists, the National College of Probate Judges, the National Adult Protective Services Association, the American Bar Association, state bar associations, commercial financial institutions, and police departments and prosecutors’ offices across the US.

Liz is a recipient of the National Adult Protective Services’ Collaboration Award (2011), Albany Law School’s Kate Stoneman Award (2013), and was cited as one of NYC’s “50 Inspiring Fintech Females” by NYC FinTech Women in 2019. She is the author of a book entitled “Financial Exploitation of the Elderly: Legal Issues, Prevention, Prosecution, Social Service Advocacy” (Civic Research Institute) and serves on the boards of HelpAge USA and the Financial Exploitation Advisory Board of the National Adult Protective Services Association. She has been quoted in a number of periodicals including the Wall Street Journal, Forbes, Consumer Reports, Money, Kiplinger’s, the NYTimes, and the NY Law Journal, and appeared on ABC’s 20/20, CNBC, ABC News, and NPR.

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Liz Loewy

CoFounder & COO, Eversafe

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Brandi Reynolds

Founder & CEO, CorCom

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Kenneth Freije

Cofounder, Revenext Corp & Chief Risk Officer, Flexible Finance Inc.

Agenda

[toggle color=”Default” title=”12:00-12:10
Welcome Remarks: A Guide to Effective Compliance”][toggle color=”Default” title=”12:10-1:00
Fintechs: Paving the Future of AML?”]Fintechs are no longer a new concept. Covering a wide range of segments, fintechs have been disrupting everything from banking to payments to lending and beyond. Utilizing new technology, implementing new business models, and growing at lightning speed, fintechs are putting risk and compliance tools and processes to the test. Are fintechs paving the future of AML? In our panel, we discuss the challenges that fintechs have overcome, the developing risks, and advice for compliance officers as their organization moves through different growth stages.

  • Charles Delingpole, Founder and CEO, ComplyAdvantage (Chair)
  • Adam Fear, Senior Compliance Manager, Affirm
  • Sarah Elliott, General Counsel & CCO, One Financial

[toggle color=”Default” title=”1:00-1:50
Financial Crime Against Older Adults”]Elder Financial Exploitation (EFE) is widespread and damaging. Defined as the illegal or improper use of funds or assets, financial institutions and AML/BSA officers play a critical role in detecting and preventing EFE. Join us as our panel of experts dive into the world of financial exploitation and break down trends, tools, and how your financial institution can take steps to identify this crime.

  • Naomi Karp, Consulting Research Scholar, Stanford Center, AARP (Moderator)
  • Liz Loewy, CoFounder & COO, Eversafe
  • Ron Long, Director of Elder Client Initiatives, Wells Fargo
  • Theodora Lau, Founder, Uncommon Ventures

[toggle color=”Default” title=”1:50-2:00
Afternoon Coffee Break”][toggle color=”Default” title=”2:00-2:50
Leaks & Public Pressure: Catalysts for Change?”]Over the past few years, Financial Institutions and Regulators have had their fair share of press coverage. From the Panama Papers to the Troika Laundromat to the FinCEN Files, journalists have written hundreds of stories related to sanctions, compliance failures, corruption, money laundering, and regulations. Off the back of the latest press, our panel discusses the root causes of compliance issues, their views on regulations, and their outlook for 2021 and beyond.

  • Brandi Reynolds, Founder & CEO, CorCom
  • Sid Valluri, (Former) Chief Compliance Officer, OANDA
  • Kenneth Freije, Cofounder, Revenext Corp & Chief Risk Officer, Flexible Finance Inc.
  • Amber de Volk, Chief Compliance Officer, Behalf

[toggle color=”Default” title=”2:50-3:30
Closing Keynote: Inside the Money Launderers’ Mind”]

Working undercover, Robert Mazur was a highly successful mob-connected money launderer that helped organized crime leaders, including Pablo Escobar, manage their illicit fortune. Now a New York Times bestselling author, Robert offers remarkable lessons for the anti-financial crime community. In our keynote session, Robert tells his story. From how he laundered millions of dollars to the $500,000 bounty price on his head when his identity was uncovered, Robert’s closing session reminds us what is at stake when illicit funds are able to flow through the financial system.

Robert Mazur, The Infiltrator[toggle color=”Default” title=”On-Demand
Keynote Panel: The State of Compliance in 2020″]Our European keynote panel looks back on a year of radical and rapid digital transformation, explores why innovation is as important as ever in the fight against financial crime and the opportunities that lay ahead for compliance teams.

  • Paul Huston, VP, Product, ComplyAdvantage (@ComplyAdvantage)
  • Sophia Bantanidis, Head of Regulatory Strategy & Policy, Citi Group
  • Tom Keatinge, Director, Centre for Financial Crime & Security Studies, RUSI
  • David Birch, Principal, 15Mb Ltd

[toggle color=”Default” title=”On-Demand
6AMLD Readiness: And What Brexit Might Mean”]6AMLD is just around the corner, so for firms, ensuring smooth implementation will be critical, but as compliance teams post-Brexit work with European and UK legislation, we explore what practical steps firms can take to ensure a consistently high global standard.
Matthew Redhead, Associate Fellow, RUSI[toggle color=”Default” title=”On-Demand
Communicating Compliance: Buy-in from the Business”]We’ll uncover how to ensure that compliance has a strong voice within your organization, the critical messages for working with and promoting compliance to your executive team, and the role of digital transformation in reducing inefficiencies.

  • Livia Benisty, Global Head of Business AML, Banking Circle
  • Phil Coole, MLRO, OakNorth Bank
  • Ricky Lee, Founder & CEO, sync.
  • Shachar Bialick, CEO, Curve

[toggle color=”Default” title=”On-Demand
Tackling Human Trafficking”]Exploring the true human cost behind in the sometimes abstract money laundering crimes, we’ll explore the lives impacted by financial crime, the role technology can play helping to disrupting human trafficking and the importance of a holistic sector approach in preventing exploitation.
Neil Giles, Director, STOP THE TRAFFIK[toggle color=”Default” title=”On-Demand
Remaining Effective: Compliance at Scale”]Fireside Chat: There will always be an inherent challenge between security and speed, between efficiency and customer service in managing compliance, but those challenges are magnified at scale. We will examine the role that technology plays in enhancing processes like transaction monitoring and how it can improve existing workflows.

  • Rosie Larsson, VP, Compliance, Visa Payments
  • Sean Jones, AML Specialist, ComplyAdvantage

[toggle color=”Default” title=”On-Demand
Getting Away with Money Laundering”]High-profile money laundering cases like the FinCEN files are eye-opening but don’t always lead to visual change, our panel explores how criminals get away with it, what compliance teams can learn, and critically what more the sector can do.

  • Joy Macknight, Managing Editor, The Banker
  • Samantha Sheen, Financial Crime Compliance Officer, EMEA, Stripe
  • Denisse Rudich, Senior Policy Advisor, The Sentry
  • Shahmeem Purdasy, Senior Manager, Plenitude Consulting

[toggle color=”Default” title=”On-Demand
Terrorism Financing & Evolving Sanctions”]As the UK begins to issue its own sanctions, our panel explores what this divergence might mean, the evolving landscape of terrorism finance and sanctions evasion and why a hands-off approach to terrorism financing just isn’t good enough.

  • Graham Barrow, Director, Dark Money Files
  • Dr Martin Navias, Senior Visiting Research Fellow, Centre for Defence Studies
  • Neil Whiley, Director, Sanctions, UK Finance
  • Florence Keen, Research Fellow, International Centre for the Study of Radicalisation

[toggle color=”Default” title=”On-Demand
The Importance of Complete Digital Onboarding”]

  • David Birch, Principal, 15Mb Ltd
  • Charles Delingpole, Founder & CEO, ComplyAdvantage
  • Husayn Kassai, CEO, Onfido
  • Jane Jee, CEO, Kompli-Global

Digital Transformation

in Compliance

28 November 2019, London, UK