2023 AML and Financial Crime Congress

14-06-2023 9:00AM 14-06-2023 5:30PM
In person: Stone & Chalk Sydney Startup Hub AND Online - Livestream, level 4, 11 York Street, Sydney, New South Wales, Australia, 2000

About the Congress - Bridging the Gap
The Congress is designed to provide insights into the areas of AML risk management where members are asking for insights and uplift, as well as addressing the knowledge and exposure to financial crime risks that so often interplay with money laundering risk management. 

GRCI is committed to ensuring the AML compliance profession has access to the highest quality professional development across all of its membership, regardless of experience. 

The overall structure will follow the key components of Parts A and B of the AUSTRAC compliance program requirements and will look at the technical challenges being experienced by members with executing these and explore potential solutions.

Why attend our annual AML and Financial Crime Congress?

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Timing Sessions
  Overall theme
9:00 AM AUSTRAC update and key areas of interest
9:45 AM Managing AML obligations to mitigate regulatory risk - key obligations, current environment and best practice for satisfying regulatory outcomes.
10:30 AM Morning Tea
11:00 AM Modern Slavery – Financial Crime, its victims, perpetrators and enablers: Understanding where we are at globally with our endeavours to eliminate modern slavery, what it looks like and how to understand the various fronts where your organisation may have exposure to the risk of being one of those participants somehow. Do you know where to look for typologies, data and how to conduct a meaningful review of customers and suppliers and assess your risks based on evidence?
11:45 AM A key component of an effective bribery and corruption framework is conducting a comprehensive ABC risk assessment to identify and document the specific risks for an organisation. This session will walk through the key steps in conducting an effective risk assessment, with reference to BPN resources as part of your organisation’s tool kit.
12:30 PM Lunch
1:00 PM The Paradigm Shift - What Financial Crime evolution will look like
1:45 PM FTW, AML: A system analysis of the importance of AML for companies and society. This session uses system analysis to highlight the importance of integrated AML efforts for corporate success and societal health. 
2:30 PM Afternoon tea
3:00 PM How mature is your management of your high risk customers - in light of AUSTRAC draft guidance to address inability of some customers to get retain banking services: How do you understand the risk they pose and how do you manage it?
3:45 PM The rise of frauds and scams and the intersect with AML activities - transaction monitoring, knowing your customer, SMRs - resourcing, responsibilities and burdens - where can organisations streamline their efforts to meet multiple expectations.
4:30 PM Tranche II Consultation Panel Discussion: Impacts and response for those already in the regime and who are the new players and what does that mean for everyone else?
5:15 PM Closing remarks


Leeann King, Acting Director, Industry, Education & Outreach, AUSTRAC.

Leeann is the acting Director of Industry, Education and Outreach where she manages AUSTRACs education strategy, prioritisation and engagement with reporting entities to enhance compliance and outcomes of Australia’s AML/CTF regime.

Leeann previously was the supervision manager of the Financial Services team in the regulatory operations branch where she managed the AML/CTF compliance of a range of sectors including the securities and derivatives, superannuation and buy now pay later sectors.   

Anthony Quinn, Founder, Arctic Intelligence.

Anthony has 20+ years consulting experience starting in Accenture’s capital markets practice in the UK consulting to investment and retail banks.

10 years financial crime prevention experience including nearly 9 years at Macquarie Bank running both the AML and FATCA program prior to setting up Arctic Intelligence. 

Carolyn Hanson, Global Head of Financial Crime Compliance, First Sentier Investors.

Carolyn Hanson has been in the international compliance field for more than 25 years, specialising in financial crime compliance. Australia is Carolyn’s eighth country of residence, with her experience having been gained in various jurisdictions including the UK, Isle of Man, 20 + countries in the Caribbean, the Middle East and most recently the Pacific, covering Fiji and PNG. 
As the Group MLRO and Global Head of Financial Crime Compliance at First Sentier Investors, Carolyn’s responsibilities include leading a global team of Financial Crime Compliance professionals to ensure FSI executes its strategy, whilst maintaining a financial crime compliance lens and delivering positive client outcomes. 
Carolyn holds a Masters in Regulation and Compliance from Monash University, is a Fellow of the International Compliance Association, a graduate and lifetime member of the Governance, Risk and Compliance Institute, a graduate of the AICD, an accredited trainer in Australia and is CAMS accredited.

Sue Bradford, Partner, KMPG Australia

Sue has an in-depth experience in anti-money laundering and counter- terrorism financing (AML/CTF) with over 17 years’ experience having worked in Australia, London, New York and Asia. Sue specialises in delivering robust, fit for regulatory purpose and pragmatic financial crimes compliance programs, remediations, transformations, regulatory responses, technology and providing FC advisory.

Sue has global experience of working across the domains of financial crime covering- AML/CTF, sanctions, anti-bribery and corruption, market misconduct, fraud. Sue has worked in industry and globally, with regulators and reporting entities to deliver regulatory risk buy down, transformation and led the delivery of leading technology, machine learning and AI in the financial crime domain.

Sue works closely with AUSTRAC locally and sits on the APAC KPMG leadership team. Sue has supported a range of clients from Financial Services, Casinos, Wagering, Fintechs and digital currencies.

Dr. Andrew Moshirnia, Associate Professor, Monash University

Dr. Andrew Moshirnia is an Associate Professor at Monash BLT. He is a magna cum laude graduate of Harvard Law School, where he, as a staff writer for the Berkman Center's Digital Media Law Project, analysed copyright infringement actions and takedown notices under the Digital Millennium Copyright Act. He clerked in Chicago for the Honorable Richard D. Cudahy of the U.S. Court of Appeals for the Seventh Circuit and taught telecommunications law at DePaul as an adjunct professor. He later clerked in Los Angeles for the Honorable Mariana R. Pfaelzer of the U.S. District Court for the Central District of California. He worked as the Empirical IP Fellow at Chicago-Kent. He taught copyright law and legal writing for the Program in International Intellectual Property Law and was a member of the Chicago IP Colloquium faculty.

Dr. Moshirnia has a Ph.D. in educational technology, with a concentration in statistics, from the University of Kansas. He worked for several years at firms in Los Angeles and Silicon Valley. He has published several articles in law reviews and education technology journals, including a co-authored behavioral economics study of whether legal argument matters in decision making. 

Dr. Moshirnia teaches Scandal! Risk, Ethics, and Consequences in Finance Law, a unit on failures within financial systems.

Caroline Marshall, Managing Associate, Allens

Caroline represents corporations and individuals in significant regulatory investigations and inquiries, both domestically and internationally. She has acted for clients facing royal commissions and inquiries, as well as regulatory enforcement by AUSTRAC, ASIC and the ACCC.

She has particular experience advising on bribery and corruption, money laundering, sanctions, and tax fraud cases and is regularly asked by clients to assist in governance, remediation and compliance matters. Her work covers the full regulatory lifecycle, from regulatory reform to regulatory strategy, compliance, enforcement and investigations.

She has conducted numerous internal investigations for clients in a variety of industries, including financial services, pharmaceuticals, manufacturing, technology, media and telecommunications, energy and natural resources. She has extensive experience advising on remediation and compliance work, and independent monitorships that follow regulatory inquiries and enforcement.

Prior to relocating to Sydney in 2017, Caroline worked in London and Hong Kong, where she acted on anti-corruption, fraud and sanctions investigations brought by the US Department of Justice (DOJ), the US Securities and Exchange Commission, the US Office of Foreign Assets Control (OFAC) and the UK Serious Fraud Office. Ranked as a 'Future Leader in Investigations' by Who's Who Legal since 2019, she is well regarded for her strategic and practical advice. 
As part of her pro bono work, she has represented seven refugees in High Court applications to prevent their removal back to offshore detention on Manus Island and has advised human rights and anti-tobacco campaigns organisations. 

Kieran Seed, Head of Content, LexisNexis

Kieran Seed is the Head of Content for LexisNexis Regulatory Compliance, supervising and coordinating the development of complex compliance data sets locally and internationally. Kieran’s expertise lies at the nexus of compliance, law and content, to help organisations understand and monitor their compliance requirements in an accelerating and ever-changing regulatory landscape.

Kieran’s team of subject matter experts manage a wide content set across the Pacific and Asia, and also collaborate closely with content teams in the US, UK and across the globe to bring the Regulatory Compliance solution to new markets and jurisdictions.

Nigel Incoll, Group Anti-Bribery & Corruption Officer, Westpac

Nigel is Westpac’s Group Anti-Bribery and Corruption Officer, leading a team responsible for oversight of anti-bribery and corruption risk management across Westpac. 

Nigel is an experienced financial crime risk professional with over 30 years in financial services, professional services, corporate regulation, and law enforcement.  

Timothy GoodrickDirector - Forensic at KPMG Australia
Tim is a Director in KPMG’s financial crime practice where he specialises in leading projects to design and implement effective systems to combat financial crime, with a focus on financial crime transformation. Tim works with clients in the financial and gaming sectors across the financial crime ecosystem including customer due diligence, transaction monitoring, targeted operating models, technology, data, remediation, and sanctions. 
Tim joined KPMG in 2019 from the Financial Action Task Force (FATF) where he spent 5 years based in France and South Korea.  
Tim has represented Australia and the FATF internationally in various international fora, including at the FATF, G20, OECD, United Nations, Asia-Pacific Group, and the Basel Committee. 

Christopher Kerrigan, Partner, Allens

Chris specialises in managing the most reputationally significant corporate criminal and regulatory enforcement matters for domestic and global corporations across a range of sectors, with related experience in crisis management and risk and compliance remediation projects.

Chris has worked in London, Russia and Australia and is familiar working with a number of jurisdictions on cross-border investigations, including the US, Hong Kong, Singapore, India, Indonesia and PNG. He has worked in private practice and at the UK Serious Fraud Office, investigating alleged bribery within multinational companies.

Cindy McNair, Manging Associate, Allens

Cindy specialises in large-scale contentious regulatory matters, corporate internal investigations and commercial litigation, with a particular focus on corporate crime and misconduct. She has represented multinational companies, financial institutions and individuals in connection with investigations and proceedings brought by various international and domestic regulators involving allegations of bribery and corruption, fraud, market manipulation, money laundering, sanctions violations and other financial misconduct. Cindy also advises companies on a range of corporate compliance and risk management issues.

Prior to joining Allens, Cindy spent over five years working in the White Collar Criminal Defence and Government Investigations group at Davis Polk & Wardwell in New York.

Victoria Eastwood, Managing Associate, Allens

Victoria Eastwood is a commercial litigator who acts for some of Australia's largest corporations in complex commercial disputes, corporate criminal matters, and regulatory investigations and enforcement action brought ASIC, APRA, AUSTRAC, the AFP, and related risk and compliance remediation and advisory.

She has worked on major investigations and proceedings into breaches of the Corporations Act, ASIC Act, Anti-Money Laundering and Counter-Terrorism Financing Act, Proceeds of Crime Act and the Criminal Code, including alleged breaches of Australia's foreign bribery laws, sanctions laws and fraud.

James Campbell, Partner, Allens

James specialises in disputes and investigations and risk and compliance advisory.

In relation to disputes and investigations, he works with companies navigating complex matters with multiple investigating agencies (including ASIC, APRA, the AFP, Parliamentary Inquiries and the Royal Commission), concurrent class actions and commercial disputes.

In risk & compliance advisory work James specialises in anti-bribery and corruption advice and advice concerning the Banking Executive Accountability Regime.

Sally Irwin, MD, The Freedom Hub

After four years working face to face with trauma victims of modern slavery in Berlin, Sally returned to Sydney in 2012, keen to apply her experience in Australia. To learn more about the issue in Australia she spent 18 months volunteering in the Salvation Army’s Trafficking and Slavery Safe House. During this time, she found a gap in Australia’s care for slavery victims, resulting in the creation of The Freedom Hub (TFH). 

In March 2014 Sally founded TFH Survivor School, that rebuilds the lives of slavery victims and is the ONLY specialised long-term support in Australia. TFH trauma informed classes train, equip and provides work experience to survivors of modern slavery in Australia. With over 14 years of frontline experience TFH is now a leading organisation in this field.
In 2020 Sally added TFH Ethical Business Advisory Services to the organisation to train and equip companies across Australia to respond to modern slavery in their value chain. Over 400 hundred businesses have been trained and equipped including large corporations like Reece, Google, Oracle, Metcash, Pinnacle Investments, Gilbert & Tobin, Lendlease, Sydney Airport and Qantas Super.

Luke RavenSenior AML Compliance Manager, Cabital

Luke is an expert in the field of AML/CTF Compliance, benefitting from comprehensive experience in the related areas of KYC, ECDD, sanctions, fraud prevention and merchant risk. Achieving the minimum legal compliance standard isn’t the goal, it’s the starting point. Luke has experience implementing and upholding internal programs which exceed industry standards and statutory expectations.