This conference is designed for chief compliance officers, executives and professionals responsible for one or more aspects of compliance, internal audit, legal, fraud prevention, special investigations, cybersecurity, privacy, ethics, risk management, anti-money laundering, elder financial abuse, operations and information technology.
Financial institutions must confront increasingly complex regulatory and compliance requirements as they are being held to stricter standards of accountability in matters of financial crime. Today, companies must consider a large and expanding set of risks, including cyber, fraud, financial crime, and data privacy and protection. To help you keep up with these current pressures, we have expanded the scope and name of our conference to encompass the real-world threats and compliance issues we are facing today. From best interest to privacy, and from fraud prevention to career advancement, you'll find the right sessions to help you do more meaningful work that gets results. This is your opportunity to network with your peers — to step out of the box you are normally in — and learn new ideas from industry experts that can help you and your business thrive.
Need CLE hours? Need CPE hours for the CFE, CAMS or other credentials? Certificates of attendance will be provided to those requesting one to document your self-submission for CLE or CPE credit hours. Your attendance in each session throughout the event will be tracked in our virtual event platform. Credit for attendance can only be given for entire sessions that you attend. Partial credit for a session will not be given. To request a Certificate of Attendance, please send an email to Joan O’Neil (firstname.lastname@example.org) by Wednesday, March 31 and specify whether you will be using it to submit for CLE and/or CPE credit (for CPE please specify designation too).
Registration for this event is closed!
Registration Member registration fee: $595 Non-member registration fee: $895
Group Registration Discount:
Take advantage of our group rates to ensure your team’s knowledge stays relevant and up-to-date amid the changing trends and directions in the industry.
We are pleased to offer two group registration options that you can secure by contacting email@example.com.
5-9 — Registrants from the same company will receive a $75 discount per person when using the quantity discount promo code provided.
10+ — Companies may purchase 10 or more registrations and receive a 20% discount off the total registration fee. Single payment is required along with the total number of registrants. We will provide a special company link/code for the your organization to distribute to the group.
Note: Discounts may not be combined with any other discount offer. We cannot combine existing individual registrations into group registrations.
Substitution Policy Substitutions of registrations are permitted up to 3 days prior to the virtual event start date by submitting a written request to firstname.lastname@example.org. The individual submitting the substitution request is responsible for all financial obligations (any balance due) associated with that substitution.
Cancellation Policy In the event that a scheduled meeting or event is cancelled by LIMRA/LOMA for any reason, LIMRA/LOMA shall refund any conference registration fees that have been paid by the registrant. Under no circumstances, however, shall LIMRA/LOMA be liable to the registrant for any other expenses including, but not limited to, airfare and hotel expenses incurred by the registrant.
All cancellations must be received in writing. Email email@example.com. Cancellations received by March 10, 2021, will be refunded, less a $100 processing fee. There are no refunds after March 10, 2021.
Co-founder and Senior Vice President, NBA's Orlando Magic
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.
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.
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
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.
Senior Compliance and Elder & Vulnerable Client Care Officer, AIG Life & Retirement
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.
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.
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.
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.
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?
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.
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.
CHRISTINA LUTTRELL, CEO, IDology; 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.
Senior Director, Compliance Investigations, Financial Crimes Unit, Allianz
Eric has more than 19 years of investigative and leadership experience in the special investigations SIU, Compliance and Financial Crimes areas. Eric started his career in law enforcement as a member of the Los Angeles Police Department. He then transitioned to Claims Verification Inc,. a National SIU firm where he was the Western Regional Director for the Financial Crimes Division. He then joined Nationwide Insurance, where held various roles, Investigator, Major Case Investigator, and SIU Sr. Manager. He is currently the Senior Compliance Director of the Financial Crimes Unit at Allianz. Throughout his career, Eric has been involved in various aspects of fraud prevention and investigation. Some of the areas of focus include, multi-line claim, underwriting, life & annuity, money laundry, embezzlement, cyber, and internal fraud investigations. In addition, he has lead multiple fraud risk audits for various insurance institutions. He holds a Certified Fraud Examiner (CFE) certification and a Fraud Claim Law Specialist (FCLS) designation.
As Guardian’s Chief Ethics & Compliance Officer (CECO), Noreen leads the ethics and compliance program for the enterprise including responsibility for Guardian’s Code of Conduct. Noreen’s responsibilities include oversight of 105 compliance professionals who have accountability for business unit compliance and corporate shared services compliance including anti-money laundering and sanctions compliance, privacy law and compliance, anti-bribery/anti-corruption law and compliance, oversight of all regulatory inquiries and exams including market conduct exams, FINRA and SEC examinations, compliance risk assessments, the records retention program, customer complaints reporting and metrics, policy governance and compliance training. Prior to joining Guardian, Noreen spent 10 years at Prudential Financial in various legal and compliance roles at Prudential Financial.
Senior Trial Counsel, Securities and Exchange Commission
Eric Forni is a senior trial counsel in the Securities and Exchange Commission’s Boston Regional Office. Previously, Eric worked as a staff attorney in the SEC’s Boston Regional Office; as a member of the SEC’s national Market Abuse Unit — where he focused on insider trading, market manipulation, and broker-dealer compliance matters; and, as a Special AUSA in the District of Massachusetts, where Eric prosecuted white collar crimes. Eric started working for the SEC in 2007.
Senior Compliance and Elder & Vulnerable Client Care Officer, AIG Life & Retirement
Michele was instrumental in building out AIG Life & Retirement’s Elder & Vulnerable Client Care Unit and continues to oversee the team and its operations. Michele has been actively presenting on this important topic at industry events, to client groups and in other arenas including through her participation in various senior investor protecting working groups. Michele is also focused on AIG’s use of digital communications in a format accessible to all individuals, including those with disabilities or vulnerabilities.
Becki has recently left corporate life and preparing to open Exodus Partners Group, a consulting firm she and her business partner are creating to assist financial crime professionals in the securities and insurance industries. Most recently Becki worked at a technology company, but most of her career has been in the financial services industry. She served as the Chief AML Officer for Advisor Group, one of the largest networks of independent broker-dealers in the United States. Her team was responsible for reviewing and investigating activity across the financial crime spectrum including AML, fraud, and sanctions. Becki has also served as an Associate Director and Lead Compliance Trainer for FINRA®. FINRA® is the largest independent regulator of the securities industry in the United States. She developed and delivered training and provided guidance and consultation on open examinations and investigations specific to fraud and AML. She possesses over 20 years of financial services experience. She is a Certified Anti-Money Laundering Specialist (CAMS) and a Certified Financial Crime Specialist (CFCS) where she also serves as a member of the ACFCS Advisory Board.
Christina Luttrell is the chief executive officer for IDology, a GBG company and leader in multi-layered identity verification and fraud prevention. In over 10 years at IDology, Luttrell has significantly advanced the company’s technology, forged close relationships with IDology customers and driven the development of technology innovations that help organizations stay ahead of constantly shifting fraud tactics without impacting the customer experience. A well-respected industry thought leader, Luttrell was recognized in 2018 by One World Identity as a top 100 influencer in identity verification. She has been named one of the leading women in security by Security Magazine and in 2019 was selected as one of Atlanta's Women Who Mean Business by the Atlanta Business Chronicle.
Andrew N. Mais was nominated by Governor Ned Lamont to be Connecticut’s 33rd Insurance Commissioner. Mais was elected as Secretary Treasurer and will serve on the Executive Committee of the National Association of Insurance Commissioners beginning January 1, 2021. He currently serves on the International Relations, Property & Casualty, and Financial Regulation Standards committees. He also serves on the International Association of Insurance Supervisors (IAIS) Macroprudential and Executive Committees. Mais previously was a member of Deloitte’s Center for Financial Services, providing industry-leading thought leadership and insight on US and international regulatory affairs. Prior to that, he was a Director at the New York State Insurance Department. Mais has led discussions in several forums on race, diversity, and inclusion at the state level and within the insurance industry and in insurance practices.
Nicole McCafferty is an Examination Director for FINRA member firms assigned to the Retail firm grouping. In this capacity, she has responsibility for managing a team that executes examinations of member firms who primarily service retail customers. Throughout her 12 year tenure at FINRA, Ms. McCafferty has held positions ranging from Compliance Examiner, Examination Manager and now Examination Director. Ms. McCafferty began her career at the NYSE as a Sales Practice Examiner in 2005 (merging into FINRA in 2007), joined Morgan Stanley’s Internal Audit Department in 2009 and then rejoined FINRA in late 2012. She received her B.S. in Finance and Management from Manhattan College.
Executive Deputy Superintendent of the Insurance Division, New York Department of Financial Services (NYDFS)
My Chi To is the Executive Deputy Superintendent of the Insurance Division at the New York Department of Financial Services (NYDFS), which regulates nearly 1,800 insurance companies with assets of $4.7 trillion. In that role, she oversees the regulation and supervision of the health, life, and property and casualty insurance industries in New York State, which is the 7th largest insurance market in the world. Prior to joining NYDFS in January 2020, My Chi was a partner in the restructuring group and global insurance practice of Debevoise & Plimpton LLP. She received an M.Phil. in Politics from the University of Oxford, where she was a Rhodes Scholar. She received an LL.L. and LL.B. in Civil Law and Common Law from the University of Ottawa and was a law clerk to the Hon. Claire L’Heureux-Dubé of the Supreme Court of Canada, the highest court of Canada.
Senior Analyst, Life Insurance & Annuity, Aite Group
Manoj leads the life insurance and annuity practice for Aite Group, a financial services research firm. Before Aite, he was an advisor at National Life Group where he helped review life insurance products through market research, competitive analysis, consumer inputs, and design thinking. Prior to that, he was a co-founder of an Insurtech, Gyder, an online financial planning solution. At Transamerica, Manoj led the conception, design and launch of life insurance, annuity, and voluntary benefits products. He led Genworth’s strategy and analytics function, delivering products and insights. Earlier, at MetLife, Manoj was responsible for the CIO’s initiative for business process integration.
Co-founder and Senior Vice President, NBA's Orlando Magic
Co-founder and senior vice president of the NBA’s Orlando Magic, a U.S. Army veteran, and a long-term cancer survivor, Pat Williams has led an inspired and inspiring life. He has been an integral part of NBA history since 1968, serving as general manager for teams in Chicago, Atlanta, and Philadelphia — including the 1983 World Champion 76ers. Pat’s name conjures legends. He traded Pete Maravich, traded for Julius Erving and Moses Malone, and drafted Charles Barkley, Shaquille O’Neal, and Darryl Dawkins. In addition, many of his former players have become NBA and college head coaches. Even as a parent, Pat is a “Hall of Famer.” He and his wife, Ruth, are the parents of 19 children, including 14 adopted from four nations.
A prolific author, Pat’s most recent book — Character Carved In Stone — highlights the leadership principles of the West Point Military Academy. Along with serving on the boards of numerous cancer groups, Pat is one of America’s top motivational speakers, sharing his message with the nation’s top corporate, academic, and non-profit leaders.