Anti-Money Laundering and Cybersecurity

FALL 2014
Anti-Money Laundering and
Cybersecurity Conference
Continuing Education & Customized Training
Five Easy
Registration Options
• Online: century.edu/training
• Phone: 651.779.3341
• Fax: 651.779.5802
• Mail to: Century College, CECT Dept.
3300 Century Avenue North
White Bear Lake, MN 55110
• In Person: East Campus
Mon-Thur 9 am–5:30 pm
Fri 9 am–4 pm
Century College – East Campus
Thursday, October 16, 2014
8 am–4:30 pm
Questions?
Contact Joan Peterson at
[email protected]
or 651.773.1743.
These programs can also be brought
to your business or organization! Call
Joan for more details.
In an environment of ever-increasing regulatory scrutiny with billion dollar fines
becoming alarmingly common, anti-money laundering (AML) professionals must be
aware of the latest money-laundering trends and developments in order to detect money
laundering and terrorist financing activity. As we become more global and dependent
on technology, it becomes even more critical to protect data from unauthorized use,
modification or exploitation. Century College will host the first-of-its-kind conference
specifically geared to address issues in financial crime risk and cybersecurity. Banks,
brokerage firms, financial institutions and law enforcement professionals should attend
to hear experts in anti-money laundering regulation and cybersecurity risk.
Cost:
$50/participant; FREE for Greater Twin Cities ACAMS chapter members
(earn six ACAMS CEU’s)
ANTI-MONEY LAUNDERING & CYBER SECURITY CONFERENCE
8–8:30 am
Registration and Welcome
8:30– 9:30 am
Money Laundering Panel
A distinguished panel of anti-money laundering experts will address the challenges of meeting the often
divergent expectations of auditors and regulatory examiners.
Moderator: Thor Nelson, AML and Anti-Fraud Operations, Ameriprise Financial
James Cummans, Vice President of BSA Operations, TCF National Bank
James has more than 20 years of criminal and financial investigations experience. At TCF National
Bank, he manages the customer due diligence, enhanced due diligence, OFAC, CTR/MIL, new account
screening, BSA investigations, BSA quality control, BSA technology and projects groups. James
specializes in complex BSA and terrorist financing investigations.
Mark Twombly, Vice President and Director of AML
Investigation, U.S. Bank
Mark has more than 20 years of experience in the public
and financial services sectors. He joined U.S. Bank after
10 years with the FBI, where he helped manage the Africa
counterterrorism unit at FBIHQ in Washington, DC. While with
the FBI, Mark worked counterterrorism, counterintelligence,
cyber, and criminal matters, and worked on such cases as the
Minneapolis al-Shabaab investigation, the Benghazi attack,
the Boston Marathon bombing, and the Westgate Mall attack
in Kenya.
Gary W. Lindsey, AMLP – Principal
Gary is the National Practice Leader for BSA/AML audit
services as a part of Crowe’s overall risk practice, with
more than 14 years of experience leading BSA/AML audits
and reviews. In this role, Gary is responsible for the oversight and maintenance of service standards,
staff development, quality assurance, and technical standards for approximately 150 BSA/AML
recurring audits conducted by the Firm each year. Gary is also responsible for the direct oversight and
performance of BSA/AML audits for the Firm’s largest and most complex bank and non-bank financial
institution clients.
Matt Johnson, Director of AML Compliance, RBC Wealth Management
Matt is the money laundering reporting officer for RBC Wealth Management, and manages monitoring,
governance, SAR investigations and enhanced due diligence functions. He has worked in financial
services for more than 20 years in various capacities including AML risk assessment, international AML
monitoring and reporting, and as a project manager focused on various risk management and compliance
projects. Prior to joining RBC Wealth Management, Matt was employed by Ameriprise Financial Inc,
where he assisted with developing and implementing AML and anti-fraud strategies, and he led the
financial intelligence unit at Wachovia Bank including governance efforts related to politically exposed
persons and enhanced due diligence.
9:30–9:45 am
BREAK
ANTI-MONEY LAUNDERING & CYBER SECURITY CONFERENCE
9:45–10:45 am
Emerging Trends in Money-Laundering from a Law Enforcement Perspective
Richard A. Waller, Supervisory Special Agent, Federal Bureau of Investigation
Richard has been an FBI special agent since 1996 where he worked criminal enterprise/drug trafficking
organization investigations, high yield investment and securities fraud, bank insider loan fraud, and
cyber investigations. He served on the Birmingham SWAT team for 10 years, and was promoted to FBI
Headquarters where he had oversight of a myriad of the FBI’s national and international undercover
operations. Currently, Richard supervises the complex financial crimes squad at the Minneapolis field
office where his team investigates allegations of fraud in healthcare, financial institution, and high yield
investment and security violations.
10:45–11 am
BREAK
11 am–12 pm
Office of Comptroller (OCC) of Currency Risk
Management for Third-Party Vendors
The OCC’s Risk Management Guidance for third-party vendors
with respect to cybersecurity signals a new era for how
financial institutions manage risks of threats in third party relationships, especially law firms. The OCC’s
Guidance requires a process for selecting, overseeing, and continuously improving risk management
process, documenting that process, and using independent review and verification to validate that
the process is working as designed. Historically, law firms have not been subject to standard risk
management processes, but the OCC’s Guidance has completely changed that model, and both banks
and their law firms are venturing into unchartered territory as they explore how to comply.
Robert Cattanach, Partner at Dorsey & Whitney Law Firm
Practices in the areas of regulatory litigation, including cybersecurity, privacy and telecommunications,
civil and criminal enforcement proceedings and international regulatory compliance (EU focus).
12–1 pm
LUNCH/PRESENTATION: Anti-Money Laundering Industry Insights
Kate Coniglio and Amanda DuPont, Thomson Reuters
1–3 pm
Cyberthreats and Security Solutions
Exploitable vulnerabilities in our information infrastructure pose one of the most significant threats to
our national and economic security facing us today—perhaps the most significant threat. Everything we
do, the way we learn, the way we communicate depends on and produces digitized information. As we
become increasingly dependent on computers and digital technology, the quality of our lives improves.
At the same time, we also become more vulnerable to threats to that technology or cyberattacks. If we
hope to maintain our freedom, our security, and our standards of living in this age, we must enhance and
strengthen our cyberdefenses.
Tomas Castrejon, Director in PwC’s Cyber Investigations Practice
Tomas works with clients in the healthcare, retail, legal, oil and gas and manufacturing industries. He
serves as an incident response lead during complex data breach and network intrusion and internal
investigations, state-sponsored cyberattacks and has worked with Federal law enforcement cases
requiring their involvement. Tomas has testified in both criminal and civil cases, before the Grand Jury,
and as an expert.
3–3:15 pm
BREAK
ANTI-MONEY LAUNDERING & CYBER SECURITY CONFERENCE
3:15–4:15 pm
Suspicious Activity Reports: Identifying Illegal Movement of Money
The Minnesota Bureau of Criminal Apprehension’s Financial Crimes Task Force works across the state to
investigate financial crimes. The Task Force recently took down a $50 million identity theft ring that had
more than 8,000 victims across the globe. Some of the key players in this criminal enterprise worked at
banks in Minnesota.
Minnesota Financial Crimes Task Force Special Agent Doug Henning and Criminal Intelligence Analyst
Jenelle L. Hudok will provide information on the value of suspicious activity reports and their use
in criminal financial investigations. Special Agent Henning has been with the Bureau of Criminal
Apprehension since 2006, after a decade as Deputy Investigator with Chisago County Sheriff’s Office.
Ms. Hudok is a graduate of the University of St. Thomas with an M.S. in Geographic Information Science
from St. Mary’s University and currently serves as the statewide coordinator of BSA data for FinCEN.
4:15–4:30 pm
Wrap-up and Evaluations
NEW! Anti-Money Laundering and Cybersecurity Conference
Please fill out all information completely. Date of birth or social security number is required. This data is for student tracking purposes only, and will not be released or used for any other purpose.
Name _______________________________________________________ Date of Birth_____/_____/_____ Home Phone (_____)__________________
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Business Name____________________________________________________________________________Business Phone (_____)_______________
Business Address _____________________________________________________City__________________________State_________Zip__________
E-mail address ____________________________________________________________________________________________________________
Course Name Course Date Course Fee
1. ____________________________________________________________________________ ______________________ $ ______________
2. ____________________________________________________________________________ ______________________ $ ______________
Total Course Fees: $ ______________
PAYMENT INFORMATION
q Check(s) Enclosed (Please write a separate check for the exact amount of each course, payable to Century College.)
q Business purchase order attached
q Please charge to my: ___ VISA ___ MasterCard ___ Discover Account # __ __ __ __ - __ __ __ __ - __ __ __ __ - __ __ __ __
Cardholder’s Name__________________________________________
Exp. Date______/______/______
Century College, Continuing Education and Customized Training, 3300 Century Avenue N., White Bear Lake, MN 55110 T 651.779.3341 • F 651.779.5802
Century College is a Member of the Minnesota State Colleges and Universities system. We are an affirmative action, equal opportunity employer and educator.
This document can be available in alternative formats to individuals with disabilities by calling 651.779.3354 or 1.800.228.1978 x 3354.

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