Bank Compliance Failures: Examples and Lessons

Speaker

Instructor: Jim George
Product ID: 706784

Location
  • Duration: 60 Min
This webinar uses actual case studies to look at what leads to compliance failures, and how to handle them. In each case. What were the specifics of the situation? Why was there a failure? How was it identified? What did it take to fix it? How could it have been avoided? (Lessons learned). It concludes with a summary of the evident patterns and learnings.
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Why Should You Attend:

This webinar will provide valuable assistance to many areas of banks or other financial institutions:

  • Understand the common causes compliance failures.
  • Know how failures can be identified before more harm is done.
  • Learn how compliance failures are best managed and fixed?

Areas Covered in the Webinar:

  • Why is compliance a major concern right now?
  • What are the common causes of compliance failures?
  • Case-based discussion:
    • AML cases
    • SOX cases
    • “Work not done” cases
    • Corporate Leadership
  • Some general observations

Who Will Benefit:

  • Compliance officers,
  • AML Department leaders, each Business Unit from Banking,
  • Credit Unions or any Financial Services company with regulations to comply with.
Instructor Profile:
Jim George

Jim George
Independent consultant, George Consulting LLC

Jim George is an independent consultant to banks focusing on issues of fraud. He has over 25 years’ experience as a consultant to major banks in associate partner and principal roles at PriceWaterhouse-Coopers Consulting, IBM Consulting in Bank Risk and Compliance, and Andersen Consulting (now Accenture). He has also been SVP Operations for a Fortis-US division providing outsourcing services to the banking industry.

His work includes projects in fraud investigation, fraud prevention, identity issues, compliance, and AML (anti-money laundering). Mr. George’s background also includes work in bank operations and payments strategy, reengineering, systems, and quality improvement.

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