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Annual ACAMS Symposium Series:Enhanced AML and Financial Crime Tools and Techniques

26 February 2018 | MumbaiHyatt Regency


Sahar Airport Road, Ashok Nagar, Andheri East, Mumbai, Maharashtra 400099, India
Hue Dang, CAMS-Audit, Head of Asia, ACAMS
09:15 – 10:30
Regulatory Update: Analyzing Regional AML Trends and New Developments
 Obtaining the latest regulatory guidance on how to provision KYC, tax evasion and client onboarding programs
in India
 Discussing recent initiatives in public-private partnerships on fighting financial crime, such as the Anti-Money
Laundering and Countering the Financing of Terrorism Industry Partnership (ACIP) in Singapore, Fraud &
Money-Laundering Intelligence Task Force (FMLIT) in Hong Kong
 Reviewing recent AML-related enforcement actions in the APAC region to identify and mitigate
regulatory risks such as PEP exposure and deficient systems
 Detailing recent global shifts in sanctions regimes compliance to adjust oversight models as warranted
Speakers:
Farokh Adarian, CAMS-Audit, Principal Officer, ICICI Bank
Priyanka Kadam, CAMS, Compliance Director & Privacy Officer, First Data
Madhu Sinha, CAMS, Director & Head of Anti Money Laundering Compliance, Citibank
Moderator:
John Matthews, CAMS, Senior Vice President and Head of Client Service, HDFC Asset Management Company
10:30 - 11:40
Deploying Robotics, Machine Learning, Data Analytics, Automation and Artificial Intelligence in AML Programs
• Redefining the future of data by using topological data analysis to solve AML problems
• Identifying practical strategies for using automation and artificial intelligence (AI) to upgrade KYC, CDD and ongoing
AML oversight
• Utilizing data mining to strengthen oversight functions and improve transaction monitoring
Speakers:
Sasi Mudigonda, Chief of Product Strategy & Architecture, Oracle Sarabjeet Singh,
Partner, KPMG India
11:40 – 12:00
Networking and Refreshment Break
12:00 - 13:00
Cybercrime: How It Happens, and How to Fight It
 Examining recent cybersecurity breaches to identify common attack points and strengthen digital defenses
 Developing an institutional response plan to ensure rapid responses to contain hacks and manage threats such
as ransomware and Distributed Denial of Service
 Creating a post-hack action plan to notify affected stakeholders, restore data systems integrity and
collaborate with law enforcement on investigations
Speakers:
Sandeep Kothari, FCC Product Management, Standard Chartered Bank
Sandeep Mehra, Sr. Vice President, Head of India Investigations & Managerof Vigilance, Citibank
13:00 - 14:00
Networking Luncheon
14:00 - 15:00
Applying the Latest Intelligence to Combat Trade-Based Money Laundering (TBML)
• Capturing crucial customer information to improve Customer Due Diligence (CDD) practices
• Dissecting recent cases to identify recurring patterns and pinpoint illicit transactions
• Cooperating with law enforcement to aid in combating and prosecuting TBML offenses
Speakers:
Praveen Dayal, Senior Vice President, HSBC
Suresha Ramachandra Iyer, CAMS, EVP Enterprise Risk and Analytics, JMR Infotech Kamalesh Rangan,
Director & Operations Lead, Ernst & Young LLP, India
Moderator:
Charan Rawat, Former Head of Compliance and Chief Governance Officer, Barclays Bank plc
15:00 - 15:20
Networking and Refreshment Break
15:20 - 16:50
INTERACTIVE WORKSHOP: Strengthening Beneficial Ownership Determination Throughout Your Enterprise
 Creating risk-based beneficial ownership practices based on ownership thresholds, entity structure and nature
of account
 Formalizing CIP documentation and verification requirements and defining triggering events such as ownership
shifts for initiating account reviews
 Identifying required IT resources and professional skills to construct effective beneficial ownership workflow
systems
 Socializing procedures across enterprise with training specific to job function and product line and incentives
such as beneficial ownership line items in annual reviews
Speaker:
David Cope, Managing Director and Head of Financial Crime Compliance, Goldman Sachs Asia LLC
Moderator:
William Scott Grob, CAMS, AML Director – APAC, ACAMS
16:50 - 17:00
Closing Remarks
Hue Dang, CAMS-Audit, Head of Asia, ACAMS
Speaker Faculty
Farokh Adarian, CAMS-Audit,Principal Officer,ICICI Bank Ltd
Mr. Adarian has 26 years’ experience in the banking industry with a broad exposure to retail banking, commercial
banking and compliance. He has been with ICICI Bank since October 2002. After a long stint on the business side,
he embarked on compliance three years back and functioned as the Bank’s Principal Officer, based at Mumbai. He
heads the Bank’s AML compliance team and is responsible for the Bank’s AML/CFT obligations. Prior to this
role, Mr. Adarian was heading the Bank’s corporate mega branch providing international trade finance solutions to
corporate customers.
Mr. Adarian is a Certified Advanced AML Audit Specialist (CAMS-AUDIT), holds the Professional Post
Graduate Diploma in Financial Crime Compliance, International Diploma in AML, International Diploma in
Governance, Risk & Compliance from ICA (U.K.), Certified Financial Crime Specialist (U.S.), Certified Banking
Compliance Professional, MBA in Banking from the University of London and is a Fellow of the International
Compliance Association (U.K.). He also holds various other professional qualifications in banking and
international trade. Mr. Adarian is an active member of the Indian Banks’ Association Working Group on
KYC/AML and has also participated in finalizing the implementation approach of the Trade-Based Money
Laundering red flag indicators by the FIU-India Working Group.

David J. A. Cope,Managing Director & Head of Financial Crime Compliance,Goldman Sachs LLC
Mr. Cope has over 25 years of experience in the financial crime and anti-money laundering space. Prior to
joining Goldman Sachs, he was the Asia Pacific Head for Global Financial Crimes Compliance at Bank of
America Merrill Lynch, previous to his time at Bank of America, he was the Regional AML/CTF Compliance
Manager for Morgan Stanley Asia. Mr. Cope was also briefly a Partner at KPMG based in Hong Kong in the
forensic practice dealing with AML/CTF and sanctions issues. In his Compliance roles Mr. Cope led
multinational teams dealing with all aspects of financial crime risk management, including client on boarding,
sanctions and corruption issues, suspicious activity detection and reporting, and financial crime risk
assessments, as well as providing advice and counsel to bank senior management and business leaders for
financial crime issues arising in the region.
Prior to joining the private sector, Mr. Cope’s 17-year long career in the Hong Kong Police was mainly focused
on the investigation and prosecuted serious complex financial crime and money-laundering, with postings to the
Commercial Crime Bureau, Organized Crime and Triad Bureau and Narcotics Bureau. He was also part of the
formulation and execution of the Hong Kong Police’s financial investigation policy and training including
dealing with the Financial Action Task Force Mutual Evaluation process. Mr. Cope is a Member of the Hong
Kong Chapter Board.

Hue Dang, CAMS-Audit,Head of Asia,ACAMS


Ms. Dang is the Head of Asia of ACAMS, having established its regional head office in Hong Kong in 2008. Ms.
Dang has more than 20 years’ experience in banking and finance. Prior to ACAMS, she was a Bank Examiner at
the Federal Reserve Bank of Boston, Manager with Barclays Capital’s Investment Banking Division in Singapore,
Director for Business Development at Citibank’s Global Consumer Banking Group in Singapore and Director of
Business Development, Asia/Pacific, for Thomson Financial in Hong Kong. Ms. Dang holds educational degrees
from the US, with a Bachelor of Arts Degree with honors from Amherst College and a Master in Public Policy
from Harvard University, John F. Kennedy School of Government.

Praveen Dayal,Senior Vice President,HSBC


Currently, Praveen is working as Money Laundering Reporting Officer & Head-AML Investigations with HSBC,
India. Praveen has over 27 years of banking experience spanning across retail, corporate, centralized operations,
compliance, and AML fields. Working in the AML field for over a decade now, with exposure to laying down of
AML policies, procedures, and development of control frameworks to contain & mitigate ML/TF risks. Developed
various elements of control framework; viz. risk-based approach, implementation of projects for transaction
monitoring, customer screening, operational controls, etc. He has a good understanding of the international
regulations and conventions. Actively involved in industry level discussions in India for development of
AML/CFT controls.

William Scott Grob, CAMS,AML Director – APAC,ACAMS


Mr. Grob has over 25 years of financial and banking expertise. His most recent role was as Regional Head of
Affiliates Management, HSBC, where he worked on mitigating financial crime and correspondent banking risks
across Asia. His 12-year career at the bank also included managing risk within the Equity/FX prime brokerage
business, Structured Funds business, and Hedge Fund units.Mr. Grob earned a Bachelor’s degree from Boston
University, a Master of Arts from George Mason University, a certificate from Harvard Business School’s General
Management Program, and a Doctorate of Management from SMC University (USA), where his dissertation was
focused on correspondent banking- “IMPACT OF CORRESPONDENT BANK ENHANCED DUE DILIGENCE
PRACTICES.” Also, he has designations from the Chartered Alternative Investment Analyst (CAIA) Association,
and Global Association of Risk Professionals (FRM).

Suresha Ramachandra Iyer, CAMS,EVP Enterprise Risk and Analytics,JMR Infotech


Suresha holds Master’s degree in Statistics from Bangalore University with a First Rank. He is the first Indian to
get certified in AML by ACAMS of USA. He was invited to speak at several international forums on compliance.
Suresha has won several awards and accolades in his illustrious corporate career.
Suresha is a business leader with 40+ years of experience spread across Banking, Mutual Funds and IT services
industry.
Suresha started his career with hands-on retail banking roles at Canara bank and after a fifteen-year stint moved
to Canbank Mutual Fund. He handled all aspects of Mutual Funds for nearly ten years before joining i-flex
Solutions in Feb’00 (now Oracle Financial Services). In his stint at Oracle, he handled landmark Datawarehouse
project for Reserve Bank of India and four complex central bank projects.
He was involved in delivering strategic consulting and advisory services to Citi, Lloyds, Barclays and was actively
involved in the completion of over twenty Risk and compliance projects across the globe. A substantial part of
Suresha’s career has been spent in the technology industry across Datawarehouse, Risk and Compliance functions,
Strategic consulting services and Program management

Priyanka Kadam, CAMS,Compliance Director & Privacy Officer,First Data


Ms. Kadam is a certified Anti-Money Laundering (AML), Anti-Fraud and Combating Financial Terrorism (CFT)
Specialist. A senior executive is offering decisive leadership across 23+ years of total experience. Ms. Kadam has
been in specialized AML roles for the past 11 years. In her long career, she has handled diverse facets of AML,
Regulatory Compliance, and Cross-Border remittances and remains an active member of India’s evolving AML &
Regulatory Compliance fraternity.
Ms. Kadam is a part of various industry level compliance initiatives. She was a part of the core team that advised
the working group of Financial Intelligence Unit’s guidance note on Typologies & Red flags to monitor cross-
border remittances in 2012. She has directly worked with regulators like the Reserve Bank of India and Financial
Intelligence Unit (FIU), New Delhi. Ms. Kadam has also worked with various law enforcement agencies in India.
In 2014, Ms. Kadam started a national level social initiative to help victims of venomous snake bites in India.
She built a platform that brought together experts from varied backgrounds like Doctors, Lawyers, Social
activists, Herpetologists, Researchers, Administrators, Teachers and Media Persons. Snakebite Healing and
Education Society (SHE) currently works with ground level NGOs and Missionary hospitals out of 8 states. Ms.
Kadam is also an advisor to the Core Team of World Health Organization’s (WHO) Global Snakebite
Envenoming Group.

Sandeep Kothari,FCC Product Management,Standard Chartered Bank


Sandeep Kothari is an experienced finance industry professional currently working in Financial Crime
Compliance at Standard Chartered Bank. He has worked with European and Australian financial organizations in
Singapore and Europe leading their change transformation, risk and vendor management.
Sandeep has led global software and vendor management portfolios shaping enterprise demand, go-to market
approach, and industry-beating outperformance. He also led initiatives driving regulatory compliance, technology
optimization, project office, governance and operational risk.
Mr. Kothari has led teams for infrastructure control, regulatory risk assessment, and audit compliance across Asia
Pacific. In his voluntary capacity, is Past President of Information Systems Audit Control Association (ISACA)
Singapore and co-authored COBIT 4.0
John Matthews, CAMS,Senior Vice President and Head of Client Service
HDFC Asset Management Company Ltd
John has been with India’s most respected and premier financial services conglomerate spanning three decades.
He started his career with HDFC Ltd, India’s leading mortgage finance company and held various responsibilities
covering Deposits, Retail Loans, and Management Services. In 2000, he moved to HDFC Asset Management
Company Ltd as part of its start-up team and was a key management employee. He is presently the Investor
Relations Officer of the Fund, Principal Officer under PML Act and also the Responsible Officer under FATCA.
John has set up the Client Services division and has been responsible for various functions. Currently, he is
engaged on a full-time basis with the digital team.He is also a member of the National Risk Assessment
Committee for the securities market in India, member of the Operations & Risk Committee of the industry trade
body – AMFI, its AML committee, and HDFC’s conglomerate AML committee. He was part of the team that
conceptualised and shaped India’s first common KYC repository in the Mutual Fund industry. He also serves as a
Director on the Board of MF Utilities India Pvt Ltd.John holds a Bachelor’s Degree in Commerce, Post-
Graduation in Systems Management is ACAMS certified and is an alumnus of Columbia Business School, USA.
He is currently pursuing a Doctorate at a leading university in England, UK.

Sasi Mudigonda,Chief of Product Strategy & Architecture,Oracle


Sasi Mudigonda is the Chief of Product Strategy & Architecture at Oracle responsible for the product strategy of
their Financial Crime and Compliance Management products. Sasi has deep functional and technical experience in
delivering solutions to the financial industry in the areas of risk management, fraud, and compliance. In his career
spanning the last 16 years Sasi has been deploying end-to-end financial crime and compliance programs tackling
Compliance, BSA/AML, KYC, FATCA, regulatory reporting as well as various fraud typologies such as payments
fraud, debit card fraud, check fraud and internal fraud at several tier 1 and large regional financial institutions. He
also works on introducing latest technology innovations and trends such as Big Data, Machine Learning and
Graph Analytics to the field of Financial Crime.

Madhu Sinha, CAMS,Director & Head of Anti Money Laundering Compliance,Citibank India
Madhu Sinha is currently working at Citi Bank India as Director & Head of Anti Money Laundering Compliance.
Madhu has 29 years’ experience in Banking/ Finance industry. Prior to joining Citi, she was the Head of
Compliance at GE Capital India. Earlier to that, she worked with India’s two leading banks – SBI & ICICI.In her
long career, Madhu has handled diverse facets of banking such as Anti Money Laundering & Regulatory
Compliance, Retail banking, banking operations, International Trade Finance, NRI banking & Remittances. She
also served a four-year stint in Toronto, Canada as Head of NRI Banking & Remittances at SBI Canada.Madhu
has been in specialized AML roles for the last ten years, and throughout this period she has remained an active
member of India’s evolving AML fraternity. She has participated actively in various Industry level initiatives such
as – Indian Bankers’ Association (IBA) Guidance notes on KYC/AML (2009) and Transaction Monitoring
Scenarios (2011), IBA banker’s delegation during the FATF mutual evaluation of India (2010), and FIU-India’s
Guidance notes on Trade-Based Money Laundering (2015). She is currently a part of the IBA working group on
KYC/AML and actively participating in industry discussions relating to mandatory linking of Aadhaar with bank
accounts.Madhu is a certified associate of Indian Institute of Banking (CAIIB) and a Certified Anti-Money
Laundering Specialist (CAMS).

Kamalesh Rangan,Director & Operations Lead,Ernst & Young LLP, India


Kamalesh Rangan is a Director with Ernst & Young LLP, India leading the AML CoE Operations based out of
Hyderabad. He has over 22+ years of experience in Banking & Financial Services industry.Mr. Rangan has
held various key positions in managing Global Compliance Operations & Fraud Risk Management. Being a
seasoned banker, Mr. Rangan has led many workshops on development of capability framework for banking
operations and enterprise risk functions, also he has led many projects towards cost rationalization,
transformation, process automation & enhanced customer experience.Prior to EY, Mr. Rangan was associated
with ANZ Grindlays, Standard Chartered, HSBC and TCS. He is a Post Graduate Diploma in Financial
Management and a certified Six Sigma Green belt having more than a decade years of experience in fighting
financial crime and managing fraud risk across financial sectors.

Charan Rawat,Former Head of Compliance and Chief Governance Officer,Barclays Bank plc
Charan is a seasoned banker with over three decades experience and a well-known figure in Banking Compliance
fraternity. He was head of Compliance for Barclays for over 13 years. His last assignment was that of Chief
Governance Officer for Barclays, a role of Chief Risk Officer. He was instrumental in building up Compliance
Team for Barclays spanning Retail & Corporate, Investment Banking, Wealth Management and Institutional
Equities verticals.Charan is a faculty at CAFRAL Trainings and a qualified lawyer and a member of the Bar
Council of MaharashtraGoa. His specializations cover cross-border businesses, Banking and Capital Markets
Regulations, Financial Crime and Conduct Risk.