Recorded Webinar: Proactive RegTech approaches to fighting financial crime17 October 2023
Financial crime is a global problem that costs the economy trillions of dollars a year, despite best efforts by financial services firms, regulators, and governments to stem the flow. As criminals become more sophisticated in how they commit financial crime, so too must capital markets participants working to challenge criminality and secure the global financial system.
This webinar will review the nature and extent of financial crime, consider the problems it presents for capital markets participants, and detail proactive RegTech approaches and solutions that can help firms not only fight financial crime, but also ensure compliance with anti-money laundering (AML) regulations.
Listen to the webinar to find out about:
- The global scope of financial crime
- How it effects capital markets participants
- Technology challenges it presents
- RegTech approaches and solutions
- Compliance with AML regulations
More about our speakers:
Global Head of Regulatory Compliance IT, Compliance Analytics & MI IT & Regional Head of Compliance IT- Asia Pacific
Lee joined HSBC in the UK in 1997 and has since held several IT roles in the UK, Brazil, India and Hong Kong. Lee has been based in Hong Kong since June 2010 where his most recent role has been as the Head of Financial Crime Risk IT for Asia Pacific, the largest and most important region for HSBC Group. In this role, Lee was responsible for rolling out the compliance systems that helped HSBC meet its Deferred Prosecution Agreement commitments. Lee was also appointed as the Global Head of Anti-Money Laundering Technology for HSBC at the beginning of January 2018, in addition to his regional role, where he led the technology programme to enable HSBC to exit it’s Skilled Person arrangement with the FCA. Lee has since been responsible for Regulatory Compliance and Analytics & MI IT globally since September 2022.
Bank of Ireland
Enton Nikaj, CAMS is a Financial Crime professional with 17 years experience in BSA, AML and KYC.
His experience includes working for domestic and foreign banks, broker dealer and asset managers in the 1st and 2nd line of defence, in both BAU and remediations related to matters self identified or regulatory enforcements. Enton’s responsibilities as a KYC SME have included managing team(s), KYC Advisory and Training, and System Implementations.
Senior Director, Capital Markets Regulatory Technology
CIBC Capital Markets
Loren is the AML Transaction Monitoring Lead and works closely with the Enterprise AML, Compliance and Business Management groups to implement comprehensive processes, systems and controls to ensure compliance with AML, KYC and Transaction Reporting requirements across Capital Markets lines of businesses. He is an experienced and dynamic leader currently guiding Regulatory Technology in Capital Markets. Notable achievements include spearheading strategic technology initiatives and building large, high performing Agile teams. Exceptional in communication and armed with deep banking domain knowledge, Loren leads with resilience and dedication, striving to harness technology to overcome complex business challenges. Loren has an MBA in Finance from the Schulich School of Business.
Principal Regulatory Advisor
Shaun Hurst is Smarsh’s Principal Regulatory Advisor. With over 20 years of experience in solving intricate IT issues for Financial Services Institutions, he is a specialist in Regulatory Requirements, Data Privacy, eDiscovery, Compliance, and Cloud Computing. Shaun’s 15-year tenure at one of the largest American banks gives him unparalleled insight into the challenges our customers encounter.
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