SESSION OVERVIEW  

Auditing the effectiveness of an AML Program is far more complicated than just reading the legislation and looking at policies and procedures. An enterprise AML program goes much beyond the simple concept of Know Your Customers.

The law prescribes the expected outcome, but does not necessarily outline “how” a financial institution should go about ensuring that they have an effective compliance program in place.

How do you make sure your organization has identified and reported every suspicious transactions, or that you have appropriately assessed the risk of money laundering across the enterprise?

How do you make sure you have asked all the precise questions and looked in all the right places?

Join us to learn some valuable tips on building a solid AML audit program.

SPEAKER - SUE LING YIP, CAMS, CFCS, CFE

Sue Ling is an Associate Director and the Canadian AML Practice Lead at Protiviti. With 20 years of international experience in the banking and financial services industry, Sue Ling is known as an anti-money laundering and regulatory compliance subject matter expert.  Her experience also encompasses front line operations as well as the management of AML/Compliance program implementation, program audits, investigations and remediation projects.

Prior to joining Protiviti, Sue Ling was part of the Audit Division and the Global Anti-Money Laundering (GAML) groups at TD Bank. Other past roles include roles such as Chief Compliance Officer for a global commercial bank, Compliance Examiner for a Canadian regulator and AML Program Lead for a global bank.

AGENDA

Registration, Light Breakfast And Networking: 8:00 a.m. – 8:30 a.m.
Presentation and Q&A: 8:30 a.m. – 10:00 a.m.

COST

IIA Toronto Chapter Members:  $65.00 (Including HST)

Non-Members:  $77.00 (Including HST)

Students:  Free If A Valid Student ID Card Is Presented At The Event

CPE:  1.5 credits

Register Early! Late registrations may not be accommodated due to space limitations. Substitutions are welcome. All prices are subject to HST.