2021 Compliance & Financial Crimes Conference Agenda

Tuesday, March 23, 2021

10:00 am - 11:00 am - EXHIBIT HALL OPENS

11:00 am - 11:05 am - WELCOME AND OPENING REMARKS

11:05 am - 12:00 pm - GENERAL SESSION 1

The Magic of Teamwork

When you see his diamond-encrusted NBA World Championship ring, you understand that Pat is a master at building successful teams. Based on what he has learned from his experience in building sports teams for over 45 years, Pat offers proven principles for building a winning team in your business or organization. After implementing the techniques presented in this speech, you can expect an organization that produces better results while working more cohesively.

Pat Williams - Co-founder and Senior Vice President, NBA's Orlando Magic

12:00 pm - 12:30 pm - BREAK

12:30 pm - 1:30 pm - GENERAL SESSION 2

Diversity & Inclusion From a Regulatory Perspective

Diversity and inclusion is increasingly the focus of regulatory scrutiny. Let’s hear how regulators are tackling the issue in a frank conversation that impacts our industry and the world.

1:30 pm - 2:00 pm - BREAK

2:00 pm - 3:00 pm: CONCURRENT SESSIONS

1.1 Supporting Business Through Data Driven Fraud Prevention

KAMAL GAD-EL-HAK, GSEC, Fraud Analytics Lead, MassMutual;
MATTHEW HARPER, Director, Cyber Crime Prevention & Global Security Arch, Aflac;
Moderator: RUSS ANDERSON, Head of Financial Crimes Services, LIMRA

Join some leading companies as they share how they are using data and data analytics to more effectively and efficiently identify and prevent fraudulent activity perpetrated by their employees, agents, customers and external threat actors.

1.2 Following Digital Footprints for Marketing

JUNE ARCE, Director, Marketing Communications, Pacific Life
SRIVIDHYA THIAGARAJAN, Compliance Lead – Digital Experience, AI and Data Science, MassMutual;
PAUL TYLER, Chief Marketing Officer, Nassau Financial Group;
Moderator: TED NEWTON, AIRC, Communications with the Public Compliance Lead, MassMutual

As interactions with customers become increasingly digital, insurers can use their data to more effectively market to them and improve their experience. With opportunity comes compliance - and ethics - challenges, however. What are they? And what are the key components of a data and digital compliance framework?S

1.3 Great Fraud Prevention Programs Do More Than Prevent Fraud

ADAM KLUTSE, Business Lead, MassMutual;
YVETTE KNOTT, RCC, NF Tech Operations Director, Nationwide;
GREG WILLIAMSON, VP, Cyber Security and Customer Protection, Prudential;
Moderator: LEONARD KWAN, Advisory Managing Director Fraud & Financial Crimes, EY

Learn how implementing better authentication and fraud prevention controls can reduce cost and improve the customer and employee experience.

3:00 pm - 3:15 pm - BREAK

3:15 pm - 4:00 pm - SOLUTIONS SHOWCASE

Insurance carriers are under constant pressure to find effective solutions to their business challenges. Come be a part of this interactive session and learn more about the focus, solutions and services from some leading providers, including IDology, FraudShare, RemotePROductivity Toolkit, LIMRA Compliance Education Platform, LOMA Designation Programs.

Wednesday, March 24, 2021

10:00 am - 11:00 am - EXHIBIT HALL OPENS

11:00 am - 12:00 pm - GENERAL SESSION 3

Financial Exploitation Is Big Business

With more elderly isolated and at risk for abuse and scams perpetrated by both family members and strangers what can companies do to better protect this vulnerable client base? Join this session to learn more about this growing and evolving threat and what companies can do to detect it, investigator it, and stop it.

Michele Kryger - Senior Compliance and Elder & Vulnerable Client Care Officer, AIG Life & Retirement

12:00 pm - 12:30 pm - BREAK

12:30 pm - 1:30 pm: CONCURRENT SESSIONS

2.1 So What’s the Risk?

JASON FREITAG, Assistant Director, Market Conduct, Northwestern Mutual;
ANDREA KOEPSEL, CFE, ALMI, Assistant Director – Fraud & Ethics, Northwestern Mutual

Learn some ideas and strategies for assessing your company’s financial crimes risks and how to right size your control environment.

2.2 Treating Data As a Product: Endless Possibilities in Compliance and Fraud

ROB HORROBIN, Assistant Vice President, Advanced Analytics and Planning, Pacific Life;
KARTIK SAKTHIVEL, MS-IT/MS-CS, M.B.A., Chief Information Officer, LIMRA and LOMA;
DAVID TURGEON, Head of Data Intelligence, MassMutual;
Moderator: NANCY HILL, AIRC, ACS, Vice President, Regulatory Compliance, Pacific Life

Whether you are just exploring the possibilities of applying data analytics or are experienced using data in compliance, or to combat fraud, you don’t want to miss this session.  Our panelists are experienced professionals utilizing data in the financial services industry every day.  They will share how data is used within their organizations and their insights into future opportunities. 

2.3 Fiduciary and Best Interest: What Does It All Mean for Us?

Policymakers have been debating and discussing fiduciary and best interest for years, and recent changes in the political landscape will portend more activity in this area ahead. Looking beyond the policy implications, this practical session will address questions we all have about what this all means for us, for our compliance practices, and our businesses. We’ll touch on the impact on issues like supervision, monitoring, sales practices, broker dealers and generally how new rules could be operationalized in the years ahead.

1:30 pm - 2:00 pm - BREAK

2:00 pm - 3:00 pm: CONCURRENT SESSIONS

3.1 The Special Investigations Unit — Your Business Partner

KRISTI HILL, Director, Customer Service, Sammons;
APRIL LAMBERT, Fraud and AML Senior Manager, Global Financial Crimes and Compliance, T. Rowe Price;
RYAN SCHWOEBEL, SIU & AML Manager, Protective Life;
Moderator: RUSS ANDERSON, Head of Financial Crimes Services, LIMRA

Learn how some Special Investigations Units benefit from strong business partnerships and how working together benefits all.

3.2 How’s It Going Over There?

PETER COLLI, J.D., Vice President & Chief Compliance Officer, Sun Life Financial;
DOUG RICHMOND, Commercial Risk Solutions, Professional Services Practice, Aon; 
YANI TANORIE, Director, Compliance, Pacific Life Insurance Company

ANITA KNIERY, Manager, Compliance & Risk Management, Allstate Insurance Company

A year after the COVID crisis sent many workers home, the world is a different place. Companies and virtual compliance departments have mostly successfully adapted to remote work, but what has been the impact? How are companies managing remote office inspections and department morale in the continuing remote work environment?

3.3 Breaking Down Silos

MICHAEL HAGAN, MS, CFE, CAMS, AML & Financial Crimes Officer, Sammons;
SHAWN REAGAN, Senior Manager Fraud and Security, T. Rowe Price;
JAMES RUMPH, CPA, CFE, CAMS, ALMI, CIA, Sr. Director, Enterprise Anti-Fraud Team, Nationwide;
Moderator: JEFF HOLM, Manager, Special Investigations Unit, Securian

When multiple teams play a role in your company's Financial Crimes and Fraud Prevention Programs coordination and cooperation is critical. This session will highlight how some companies have structured their programs to effectively and efficiently combat fraud.

3:00 pm - 3:15 pm - BREAK


  • All Things "Best Interest" (NAIC, NY Reg.187, SEC, DOL)
  • Social & Digital Media Sales Practice Concerns
  • Market Conduct
  • Team Structure
  • FCPA & TPA Supervision
  • Financial Crimes Training — What’s a good program (employees & customers & agents)
  • Front line Fraud Detection — Best Practices to Avoid Fatigue
  • Compliance Professional of the Future

Thursday, March 25, 2021

10:00 am - 11:00 am - EXHIBIT HALL OPENS

11:00 am - 12:00 pm: SPECIAL FOCUS SESSIONS

AML is not always about Placement, Layering and Integration. Why is our world different from others?

ERIC AFRE, CFE, FCLS, Senior Director, Compliance Investigations, Financial Crimes Unit, Allianz;
BECKI LaPORTE, CAMS, CFCS, Co-Founder, Exodus Partners Group

We have all heard of the three stages of money laundering - placement, layering and integration.  However, when you are in an industry that doesn't take cash, it is far more complicated than that.  The risk to Insurance and Securities Firms around AML looks very different than it does for Banks.  This session will highlight some of the similarities we have with our banking colleagues and how we can partner with them.  This session mostly will focus on some of those things that make us different.  Through sharing real world examples and recommending best practices, we aim to help you make your AML program stronger.  


Trust, Friction and Fraud in the Digital Realm

MANOJ UPRETI, Senior Analyst, Life Insurance & Annuity, Aite Group

Across industries, insurers reported the highest levels of increased fraud attempts in 2020 with 83% of insurance fraud professionals expecting fraud to rise again in 2021, according to IDology’s 8th Annual Fraud Report. Coupled with the 77 million American adults who have been victimized by identity fraud and increased expectations for effortless customer journeys, life insurance carriers are taking a hard look at solving the fraud versus friction balancing act. Join Christina Luttrell, CEO of IDology and Manoj Upreti, Senior Analyst at Aite Group, as they share fresh data from business research as well as new consumer data that details a unique 360-degree view of carrier identity verification and fraud. Luttrell and Upreti will also discuss innovative technologies such as AI that are shaping what we can expect in fraud protection in 2021 and beyond.

12:00 pm - 12:30 pm - BREAK


  • All Things "Best Interest" (NAIC, NY Reg.187, SEC, DOL)
  • Social & Digital Media Sales Practice Concerns
  • Market Conduct
  • Team Structure
  • FCPA & TPA Supervision
  • Financial Crimes Training — What’s a good program (employees & customers & agents)
  • Front line Fraud Detection — Best Practices to Avoid Fatigue
  • Compliance Professional of the Future

1:30 pm - 2:00 pm - BREAK

2:00 pm - 3:00 pm - GENERAL SESSION 4

What’s Next? Regulatory Trends

In this conversation with regulators from the SEC, FINRA, and a State Commissioner, we’ll discuss regulatory trends and hear what might be next.

Noreen M. Fierro - Senior Vice President, Chief Ethics & Compliance Officer, Guardian

Eric Forni - Senior Trial Counsel, Securities and Exchange Commission

Nicole McCafferty - Examination Director, FINRA

My Chi To - Executive Deputy Superintendent of the Insurance Division, New York Department of Financial Services (NYDFS)