News and Resources

BuckleySandler FinCrimes Webinar: Organization of a Financial Crimes Compliance Program - Leading Practices

  • April 24, 2014
  • 12:00 PM EST

The financial services industry stands at the center of the most complex and rapidly evolving regulatory environment ever experienced. At the same time, new technologies and the evolution of criminal activity bring multiple threats that must be managed coherently. The ways that organizations structure themselves in response to regulatory expectations and the multi-faceted risks confronting them can be the difference between success and failure. Well-considered organizational design is an imperative regardless of the institution's geographic footprint, products and services offered, and customer base.

Th webinar addressed the following topics:

  • Best practices for structuring and implementing compliance programs to identify and mitigate multiple financial crimes risk 
  • Understanding the challenges institutions face as they move toward a comprehensive financial crimes structure
  • Observations about where regulatory and law enforcement expectations may be heading based on guidance from multi-lateral bodies such as the FATF and Wolfsburg Group

When: Thursday, April 24, 2014 from 12:00 to 1:00 pm EST

Presenters:  

  • Pamela Johnson, Managing Director, Global Head, Financial Crimes Compliance, JPMorgan Chase
  • Barry Koch, Senior Vice President, Chief Compliance Officer, Western Union
  • Jim Richards, EVP, BSA Officer, Global Head of Financial Crimes Risk Management, Wells Fargo & Co

Moderator: James T. Parkinson focuses on international regulatory compliance counseling, corporate internal investigations, and enforcement defense litigation. He represents clients on a variety of criminal and civil enforcement actions, including Foreign Corrupt Practices Act (FCPA), securities fraud, insider trading, false statements, and environmental matters.