Overview

Financial institutions have complex anti-money laundering (“AML”) programs that must balance resource constraints and reliance on legacy technology against the need to identify and address constantly evolving risks. Problems are unavoidable, and in recent years, the Financial Crimes Enforcement Network and other agencies have shown an increasing desire to hold individual compliance officers responsible.

What can an individual compliance officer who learns of an AML deficiency do to best protect both their institution and themselves? Caleb Hayes-Deats and F. John Podvin will analyze the options available to compliance officers and how they are likely to influence government decision-making if and when an investigation occurs. Hayes-Deats and Podvin will draw on their extensive experience with AML investigations, including as opposing counsel.

This event has been rescheduled from November and will be conducted as a webinar.