Improve your experience. We are very sorry but this website does not support Internet Explorer. We recommend using a different browser that is supported such as Google Chrome or Mozilla Firefox.

2022 KYC & CDD Forum

This virtual half-day forum will examine the key issues faced by those responsible for undertaking and monitoring KYC & CDD.

Description

Know your Customer (KYC) & Client Due Diligence (CDD) are at the heart of financial crime risk management in the financial services sector.

Regulators are increasingly focused on the quality of KYC & CDD carried out both at client onboarding and review stage. Following increased legislative pressure, financial services businesses are still getting to grips with the challenges presented by complex business relationships, particularly PEP relationships.

This virtual half-day forum will examine the key issues faced by those responsible for undertaking and monitoring KYC & CDD.

Agenda:

Time

 

Topic

    Registration & networking
13:45-14:00   Registration and welcome from the Forum Chair
Andrew Horbury, Director at the School of International Financial Services
     
14:00-14:30   KYC/CDD considerations amid the Russia-Ukraine crisis
Rachel Woolley, Global Director of Financial Crime at Fenergo
     
14:30-15:00   Managing PEP-risk in light of the Pandora Papers
Rob Mitchell, Senior Vice President at RiskScreen
     
15:00-15:30   It's never too early to SAR: spotting red flags during KYC/CDD
Sharon Sargeant, Compliance Consultant at Baker Regulatory Services
     
15:30-15:40   Refreshment break
     
15:40-16:10   Panel discussion: A view from both sides of the fence: How effective CDD inoculates against enforcement action
Andrew Horbury, Barry Faudemer, Tom Townson, David Sowden & Rachel Woolley
     
16:10-16:40   Managing KYC remediation projects
Malin Nilsson, Managing Director at Kroll & Manu Hinojosa, Senior Vice President at Kroll
     
16:40-17:00   A quick-fire roundup of practical KYC/CDD take-aways
Andrew Horbury, Director at the School of International Financial Services
     

Speakers

Andrew Horbury FICA (Chair)

Director & Expert-trainer at the Schools of International Financial Services

Andrew Horbury 

Andrew Horbury FICA is a Director at the School of International Financial Services. Andrew provides training and education on his areas of subject matter expertise including anti-money laundering, financial crime prevention, risk management, financial technology, blockchain and cryptocurrency.

Andrew joined SIFS from another professional education provider where he sat as their Global Head of Blockchain & Cryptocurrency and a Senior Lecturer in Anti-Money Laundering & Financial Crime Prevention for a number of years.

Andrew is frequently engaged as an advisor and consultant by a range of financial services businesses across a number of jurisdictions.

Andrew is a Fellow of the International Compliance Association, having completed the Professional Postgraduate Diploma in Financial Crime Compliance. Andrew previously studied law at the University of London and International Financial Services at the University of Buckingham.


Rob Mitchell

Senior Vice President of RiskScreen

Robert Mitchell 

Based in RiskScreen's London office, with vast experience in the governance, risk and compliance market, Rob is responsible for growing the firm's corporate client base in Europe, Middle East and Africa.

Prior to joining RiskScreen, Rob spent seven years at Exiger, where he was a Vice President for Europe, Middle East and Africa and helped grow the EMEA client base to over 100 clients, with some of the world's most recognisable brand names and prominent luxury goods manufacturers.

Rob's deep domain experience also includes time at PricewaterhouseCoopers (PwC), where he was Director of Forensic Services. Prior to his time at PwC, Rob served as Head of Enhanced Due Diligence, EMEA, Thomson Reuters, Integrascreen, and was responsible for growing key markets in the development of the company and the products.


Rachel Woolley

Global Director of Financial Crime at Fenergo

Rachel Woolley 

Rachel Woolley is the Director of Financial Crime at Fenergo and is based out of the firm’s headquarters in Dublin. Rachel has over 12 years’ experience in the Financial Services industry, having worked primarily in the funds industry and retail banking. She has a strong background in compliance, particularly in the areas of anti-money laundering and counter terrorist financing (AML/CTF).

Rachel is a member of the Association of Compliance Officers Ireland (ACOI) Financial Crime Working Group and currently holds four professional designations; Certified Anti-Money Laundering Specialist (CAMS), Licentiate of the Association of Compliance Officers in Ireland (LCOI), Certified Financial Crime Prevention Practitioner (CFCPP) and Certified Data Protection Officer (CDPO). Rachel also holds a BSc (Hons) Degree in Applied Accounting from the Oxford Brookes University and is an ACCA Affiliate.

Fenergo is a leading provider of Client Lifecycle Management, AML/KYC Compliance and Client Data Management solutions for investment, corporate, commercial and private banks.


Barry Faudemer

Chief Executive of Baker & Partners

Barry Faudemer 

Barry Faudemer has a unique insight into the AML/CFT threats and current challenges facing businesses, together with the most common regulatory failings leading to public sanction by the JFSC. He has unrivalled experience in the

regulatory field.

After thirteen years in the role as the JFSC’s Director of Enforcement and MLRO Barry Faudemer stood down in June 2020. Prior to joining the JFSC Barry was the Head of the Police and Customs Joint Financial Crimes Unit and has extensive experience of investigating financial crime, conducting regulatory investigations and managing financial intelligence.

Barry is a graduate of the prestigious FBI National Academy having studied how terrorist organisations fund their activities and has over forty years of enforcement experience. As a member of the National Risk Assessment Working Group identifying current AML/CFT threats to Jersey’s finance industry Barry contributed to the National Risk Assessment.


Sharon Sargeant

Compliance Consultant at Baker Regulatory Services

Andrew Horbury 

Sharon Sargeant has over 40 years’ experience in the finance industry. Following a lengthy career in banking at HSBC, Sharon joined Baker Regulatory Services in November 2021. Her in-depth compliance experience will further enhance the unrivalled expertise of our regulatory team.

Sharon’s experience covers local domestic personal banking, corporate and commercial banking, international banking and trusts. Having worked as the MLRO and Deputy MLCO for all HSBC Jersey entities for almost 10 years, she has extensive knowledge of AML and CFT requirements and a working knowledge of AML legislation not only in Jersey but also Guernsey, the Isle of Man, Hong Kong and the UK.


Tom Townson

Partner, Head of Financial Crime at Grant Thornton

Tom Townson 

Tom is the partner leading the financial crime team for Grant Thornton. He has 20 years’ experience as a practitioner and as a consultant to financial service firms in the crime arena covering fraud, anti-money laundering, sanctions and conduct issues.

Tom has led a number of globally significant programmes that have advised on building, reviewing or improving financial crime frameworks. These programmes were primarily at firms’ subject to intensive regulatory scrutiny involving multiple jurisdictions and regulators.

Whilst he has spent a lot of time working for different types of financial services firms, his heritage lies in the insurance sector having worked for two life assurance firms and a large insurance intermediary services provider.


David Sowden

Director at Grant Thornton

David Sowden 

For thirty years David has been a forensic accountant specialising in investigating large and complex fraud, money laundering and corruption cases. He has given evidence in the Royal Court in Jersey, the Royal Court in Guernsey and in the Crown Court in England, as well as assisting with criminal investigations in the Isle of Man. His cases feature in three separate FATF money laundering typology reports, being the Report on Money Laundering Using Trust and Corporate Service Providers, the Report on the Specific Risk Factors in Laundering the Proceeds of Corruption and in the Report on Concealment of Beneficial Ownership. He has worked with leading prosecution authorities such as the SFO, the National Crime Agency, the Crown Prosecution Service, the NHS Counter Fraud and Security Management Services and the Insolvency Service.

David regularly investigates complex trust structures, including assisting with potential asset recovery work, actions against professional advisors and a review of the trust and corporate service providers.

David has acted for a number of regulators and has been involved in regulatory investigations involving trust and corporate service providers, often involving detailed file reviews, either directly on behalf of the regulator or with clients who are the subject of such reviews.

He has acted on a number of high-profile, sensitive cases involving politically exposed persons, where their wealth is held in complex webs of trusts and associated companies.


Malin Nilsson

Managing Director at Kroll

Malin Nilsson 

Malin Nilsson is a managing director in the Duff & Phelps' (rebranded as Kroll) Financial Services Compliance and Regulation team and is based in Jersey, delivering services to clients across the Channel Islands and internationally.

Malin leads regulatory due diligence assignments for both buyers and vendors and regularly conducts enforcement and supervisory engagements, concentrating on governance, systems and controls and risk management.

Heading a team of professionals who perform compliance consulting engagements involving regulatory investigations, compliance secondments, and development of policies and procedures, risk and governance frameworks, Malin has a wide range of experience across fiduciary, fund administration, investment management and banking institutions in the Crown Dependencies, Europe, Caribbean and Far East where the team is routinely deployed to assist multinational organizations.


Manu Hinojosa

Senior Vice President at Kroll

Manu Hinojosa 

Biography to follow.



This event is suitable for all financial services compliance professionals and Directors with oversight of KYC/CDD.

Similar seminars

The Governance Radar: what's on the horizon for Board members in 2022?

This webinar forms part of the 2022 Corporate Governance CPD Webinar Series

More Information
What’s going on inside your house – understanding insider risk

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Grahame White.

More Information
The governance of data and information in Isle of Man

This webinar forms part of the 2022 Isle of Man Corporate Governance CPD Webinar Series

More Information
Regulatory expectations around Corporate Governance in the Isle of Man

This webinar forms part of the 2022 Isle of Man Corporate Governance CPD Webinar Series

More Information
Green Corruption and the link to weak corporate governance

This webinar forms part of the 2022 Corporate Governance CPD Webinar Series

More Information
What boards need to know about shareholder activism

This webinar forms part of the 2022 Corporate Governance CPD Webinar Series

More Information
Remote working and the global work force – key considerations and risks

This webinar forms part of the 2022 Corporate Governance CPD Webinar Series

More Information
Governance considerations in relation to Global Tax Reforms

This webinar forms part of the 2022 Corporate Governance CPD Webinar Series

More Information
Managing insider risk – good Governance as a risk management tool

This webinar forms part of the 2022 Corporate Governance CPD Webinar Series

More Information
Should the focus be on the 'G' in ESG?

This webinar forms part of the 2022 Corporate Governance CPD Webinar Series

More Information
Good governance: lessons from the pandemic

This webinar forms part of the 2022 Corporate Governance CPD Webinar Series

More Information
The financial crime aftermath of the COVID-19 pandemic with Jo French

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Jo French.

More Information
Modern slavery & human trafficking – where are we now and what are the risks for the Isle of Man with Grahame White

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Grahame White.

More Information
Risk management - essential skills and knowledge with Andrew Horbury

This 2-hour CPD webinar forms part of the 2022 ACSP Toolkit essentials for senior staff and is delivered by Andrew Horbury.

More Information
Tax Crime developments – impact for the Isle of Man with Andrew Horbury

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Andrew Horbury.

More Information
"ABC, Easy as 1-2-3!" – is your risk management framework in tune? with Jo French

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Jo French.

More Information
Golden Bricks - How money laundering is achieved through real estate with Jo French

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Jo French.

More Information
An AML CFT “World Tour” - How well do you know the countries you are doing business with? with Jo French

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Jo French.

More Information
Senior staff AML/CFT mandatory training with Jo French

This 2-hour CPD webinar forms part of the ACSP Toolkit essentials for senior staff and is delivered by Jo French.

More Information
Just who is your customer? Understanding the dangers of failing to uncover the “real” UBO with Jo French

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Jo French.

More Information
The changing face of investment fraud with Andrew Horbury

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Andrew Horbury.

More Information
The A-Z of sanctions: from Afghanistan to Zimbabwe with Andrew Horbury

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Andrew Horbury.

More Information
How to run an effective meeting (including remote meetings) with Jo French

This 1.5-hour CPD webinar forms part of the 2022 ACSP Toolkit essentials for Administrators and is delivered by Jo French.

More Information
Contemporary corporate governance – how to ensure effective risk management with Helen Hatton

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Helen Hatton.

More Information
The importance of strong corporate governance with Helen Hatton

This 2-hour CPD webinar forms part of the 2022 ACSP Toolkit essentials for senior staff and is delivered by Helen Hatton.

More Information
Understanding offshore money laundering risk through case studies

This 2-hour CPD webinar forms part of the ACSP all staff programme for professional development and is delivered by Grahame White.

More Information
The rise and rise of Corporate Liability offences – is your firm at risk? with Jo French

This 2-hour CPD webinar forms part of the ACSP all staff programme for professional development and is delivered by Jo French.

More Information
SAR or not to SAR? Theory and the reality in practice? with Grahame White

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Grahame White

More Information
Introduction to the role of the Company Secretary with Jo French

This 1.5-hour CPD webinar forms part of the 202 ACSP Toolkit essentials for Administrators and is delivered by Andrew Horbury.

More Information
All staff AML / CFT Mandatory training with Jo French

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Jo French

More Information
The Financing of Terror – how your firm could be vulnerable with Jo French

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Jo French.

More Information
Director duties and liabilities with Helen Hatton

This 2-hour CPD webinar forms part of the 2022 ACSP toolkit essentials for senior staff and is delivered by Helen Hatton.

More Information
Managing conflicts of interest with Jo French

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Jo French.

More Information
Environmental crime – what is it, why you should care and what you can do to manage the risk?

This 2-hour CPD webinar forms part of the 2022 ACSP all staff programme for professional development and is delivered by Grahame White.

More Information
2022 Sanctions Masterclass Series (Jersey)

The use of sanctions grows each year as governments aim to use legislation and enactments to reduce the ability of recalcitrant regimes in accessing the international finance sector. In addition, sanctions are increasingly used to target individuals and organised crime in the fight against illicit financial flows.

More Information
Top tips on building a robust Sanctions Compliance Programme

This 30-minute webinar forms part of the 2022 Sanctions Masterclass Series, which provides key updates to sanctions compliance professionals, delivered by industry-expert guest speakers.

More Information
Sanctions compliance guidance in relation to virtual currencies

This 30-minute webinar forms part of the 2022 Sanctions Masterclass Series, which provides key updates to sanctions compliance professionals, delivered by industry-expert guest speakers.

More Information
Flexing OFSI’s muscles – a review of developments in Sanctions against Russia

This 30-minute webinar forms part of the 2022 Sanctions Masterclass Series, which provides key updates to sanctions compliance professionals, delivered by industry-expert guest speakers.

More Information
The rise of the machines: latest trends in Sanctions technology

This 30-minute webinar forms part of the 2022 Sanctions Masterclass Series, which provides key updates to sanctions compliance professionals, delivered by industry-expert guest speakers.

More Information
Understanding and interpreting Ownership and Control

This 30-minute webinar forms part of the 2022 Sanctions Masterclass Series, which provides key updates to sanctions compliance professionals, delivered by industry-expert guest speakers.

More Information
Spotlight on Afghanistan: the current sanctions landscape and future outlook

This 30-minute webinar forms part of the 2022 Sanctions Masterclass Series, which provides key updates to sanctions compliance professionals, delivered by industry-expert guest speakers.

More Information
2022 CyberCrime for Financial Services Directors Forum

The essential event for financial services directors needing to understand the risks for cybercrime to their businesses.

More Information
Implications of Russian aggression in Ukraine; considerations for financial services businesses

This webinar will ensure that those with responsibility for managing sanctions risk remain fully informed as to the myriad risks to their organisation of the escalating aggression between Russia and the Ukraine.

More Information
Behind the scenes of the Pandora Papers

An exclusive fireside chat with the investigators who exposed Pandora Papers

More Information
International Certificate in Financial Services Regulation

Robust and effective regulations and their enforcement are crucial to the smooth operation of financial systems. Gain a sound understanding of the principles of regulation for the start of your career as a regulator. Delivered by The School of International Financial Services, and awarded by The Chartered Governance Institute UK & Ireland (CGI), this Level 3 qualification aims to equip you with the knowledge and skills for a career as a regulator.

More Information
2022 Isle of Man Economic Crime & Compliance Symposium

Join your industry peers at the School of International Financial Services' 2022 Isle of Man Economic Crime & Compliance Symposium this October.

More Information

Press enter to see more results