Examination preparedness – Are you ready for the risk-based compliance regime?

Apr 7, 2015 5:00pm – 

Caitlin Riddolls
AVP Global AML, North American Direct Channels
TD Bank Group

David Chesworth
CAMLO
Alterna Financial Group, Ottawa

Risk-based copmliance has changed how organizations approach AML and risk management initiatives. Caitlin Riddolls and David Chesworth will lead this enlightening exploration of how risk-based and more holistic thinking will affect you.

  • Joint OSFI and FINTRAC exams
  • Anticipating new regulatory expectations
  • Getting ready for internal audits and external examinations
  • Customer risk rating – how to assess and articulate the risk profile of customers, products, and business lines to make sure your controls are effectively addressing these risks
  • Justifying decisions that appear inconsistent – documenting the reasons for specific risk-based decisions – document, document, document, and then document again
  • Alignment of all lines of business for risk and demarketing considerations

A light lunch will be served to delegates who attend both workshops.