WEBCAST - LISTEN ON DEMAND
Liberating Your Compliance Team From Too Many Systems
Presented by Refinitiv and CaseWare RCM.
Does your organization suffer from “silo-sitis” where too many disparate compliance systems are resulting in missed activities, errors and excessive manual processes? Do you believe there is a better way but don’t know where to start?
In this webcast, Catherine Banks, Risk Proposition Sales Specialist at Refinitiv and Eric Hansen, Senior Risk Specialist at CaseWare RCM discussed their experience with the downfalls of working with disparate compliance systems, as well as how to consolidate systems that lead to better identification and tracking of suspicious activities, more effective information exchange and reducing manual processes.
Topics covered include:
- Things you may not know you can do with compliance systems that work together
- How to enhance the performance of your on-boarding system for better risk profiling
- Why and how to connect your transaction monitoring system to your case management system
- Features in a case management system you need to automate regulatory reporting
- Practical tips to develop a compliance road map that includes technology, policies and control
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Speakers
Catherine Banks - Risk Proposition Sales Specialist, Refinitiv
Catherine has over 24 years of compliance, risk, audit, and strategy experience in the financial service and insurance industries. She is currently a Risk Proposition Sales Specialist at Refinitiv.
Catherine is the former KYC Policy Officer for Compliance Operations and Head of KYC Advisory for Global Financial Crimes and Compliance at JP Morgan Chase. Prior to her roles at JP Morgan Chase, Catherine was the board-appointed AML Officer for three legal entities for the Bank of New York Mellon. In this role, Catherine was a 2011 recipient of the BNYM Circle of Excellence Award for Risk & Compliance. Catherine has also served as a Compliance Officer for ING USA and Compliance Manager at AIG.
Eric Hansen - Senior Risk Specialist, CaseWare RCM
Eric Hansen (CAMS) is a Senior Risk Specialist at Caseware RCM. He has been consulting clients globally on matters of Risk and Compliance for over ten years. Eric is a member of Transparency International where he serves on their working group for Beneficial Ownership transparency. He was a Director of Risk & Compliance at Dow Jones Canada from 2012 to 2018, where he advised clients on areas such as AML, Anti-Corruption and Economic Sanctions. Eric has an Economics degree from Western University, as well as a postgraduate diploma in Ethics from Western University. He is a guest lecturer at Seneca College’s Financial Services Compliance department.
