Cost:

Members: $160
Non-members: $195

A hot breakfast and fabulous lunch are included. Please indicate any dietary restrictions on your Registration.

Join CCA and your banking colleagues as we get an update on BSA-AML related topics from industry experts. A great opportunity to network with your BSA-AML peers!

The session has been approved for 6.75 CRCM, CAFP, 4.25 CERP credits, and certain courses may be CAMS eligible.

Please send any questions you have for our speakers, in advance to: Speaker Questions.

Location: Maggiano’s Little Italy

Speakers & Topics:

Robin Guthridge, CAMS, CRCM, Director, Wipfli
Artificial Intelligence (AI) and Suspicious Activity Monitoring
This session will explore the concept of AI and its current and potential future impact on our industry, including questions and potential risks to consider when evaluating AI for suspicious activity monitoring.

Heather Trew, SVP and Counsel for BSA, AML, and Sanctions, American Bankers Association
The (Rapidly) Evolving BSA Regulatory Environment
Since January 1, when FinCEN’s reporting rule governing small businesses initially went into effect, the BSA regulatory environment continues to change at a rapid pace. This session will provide an overview of these important and evolving rules, such as where we are with the beneficial ownership reporting and access rules, the differences between the CDD rule and the reporting rule, possible upcoming revisions to the CDD rule, and other FinCEN initiatives, including FinCEN’s renewed push to regulate, Designated Non-Financial Businesses and Professions and examine FI reporting requirements.

John Geiringer, Partner, Barack Ferrazzano Financial Institutions Group
BSA/AML/OFAC Enforcement Environment
This session will cover recent BSA/AML/OFAC enforcement actions, specifically what happened, the lessons learned, what to look for at your institution and best practices to mitigate risks.

Eileen Fairley, Intelligence Analyst, Chicago FBI
Kelly Shanahan, Special Agent, Chicago FBI
Nick Zagotta, Supervisory Special Agent, IRS – Criminal Investigation
From SAR to Conviction: How a SAR led to a successful joint investigation and convictions of eight defendants
Presentation of a how a SAR assisted a joint federal criminal investigation and resulted in the prosecution of a Chicago-area daycare owner, her daycare directors, and fraudulent document makers.

Brian Crow, Managing Partner and Co-President, TCA Compliance
SAR Investigation Process
This session is designed to be interactive, so be sure to bring your questions, procedural ideas, and investigation methods. The speaker will provide several scenarios where a reviewer receives limited transactional information from a system alert, spreadsheet, or staff referral. Participants are invited to ask questions or state what additional research they would conduct based on the limited information given. The facilitator will provide additional details about the case as the investigation “progresses” to simulate an actual investigation. At the end of each investigation, the participants can voice their opinions whether they believe a SAR should or should not be filed based on the information obtained during the discussion.

Gargi Desai, Director, Financial Crime Compliance, Protiviti
Asa Sum, Managing Director, Financial Crime Compliance, Protiviti
Managing AML Compliance with Perpetual KYC
This session will cover perpetual KYC and how it plays a crucial role in AML compliance by enabling financial institutions to meet regulatory obligations efficiently. Utilizing digital technologies for quick and accurate verification of customer identities facilitate faster customer onboarding and ensuring continuous compliance with AML regulations.

Registration and Breakfast begins at 8:00 am
Session runs from 9:00 am to 4:00 pm

Last day of registration is 5:00pm CT on May 13, 2024

As a reminder, CCA no longer accepts cash or checks as payment for meetings or membership dues. Payment is only accepted in advance by debit or credit card via our website. Registration for meetings or membership will not be considered complete without prepayment. CCA is no longer able to invoice for events and entry will be denied if payment has not been received. Payment can be made in advance using a debit or credit card via CCAs PayPal page. Failure to pay in advance may result in removal of registration for the event.

Speakers and Topics may be subject to change.

This session is not to be recorded electronically without written permission from the Chicagoland Compliance Association and all speakers. materials and opinions shared from the speakers are not necessarily those of the organization they represent and therefore, unless otherwise indicated, should be assumed personal and not indicative of any implied liability or accountability back to the respective organization.

Reservation cancellations received by the CCA after the registration deadline of 2:00pm on May 13, 2024 will not receive a refund.

If after registering you do not see the “Thank You” page or you do not receive a confirmation email within two days, then your registration has not been received. Please email the CCA.

Registration has closed for this event.