Captivated Audience: A Financial Crime Podcast
141 episodes - English - Latest episode: almost 3 years ago -This podcast was inspired by the evolving Covid-19 restrictions and how it has impacted compliance professionals working in financial crime prevention. Reaching out to individuals across the globe, hosts Samantha Sheen and Marie Lundberg look at how people are adjusting to remote working from home while still keeping up efforts to detect, prevent and disrupt financial crime. The topics covered range from governance, KYC, transaction monitoring to cyber security and accountability.Taking a plain speaking approach, Marie and Sam analyse notable cases involving financial crime, epic “compliance fails” and lessons learnt along the way. And to help fellow compliance professionals keep on top of their CPD, case studies with illustrative slides are also included – a bit like story time for adults – so enjoy.
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Episodes
Tomo Whinstanley - Director, Client Onboarding Transformation Lead, Deutsche Bank (London/Global recorded on 4 April 2020)
April 19, 2020 11:00 - 15 minutes - 10.5 MBTomo Whinstanley - Director, Client Onboarding Transformation Lead, Deutsche Bank, joins Sam Sheen and Marie Lundberg to discuss building an eKYC platform across multiple jurisdictions, designing an "agonistic" onboarding tool to operate across business lines, pros and cons of KYC "bots", roll out strategies and the importance of data configuration.
ThetaRay - Mark Sully and Yaron Hazan (UK/Israel, recorded on 7 April 2020)
April 15, 2020 17:00 - 19 minutes - 13.7 MBThetaRay - Mark Sully and Yaron Hazan discuss with Marie and Sam the use of unsupervised machine learning and AI to detect patterns of illicit activity, detecting unexpected activity related to terrorist financing, illegal gambling networks and working on the Russian laundromat case.
Financial Crime Prevention Leadership: Karl-Johan Karlsson, Head of Compliance, Handelsbanken and Co-Chair ACAMS Nordics Chapter (Denmark, recorded on 24 March 2020)
April 15, 2020 17:00 - 7 minutes - 5.25 MBKarl-Johan Karlsson, Head of Compliance, Handelsbanken & Co-Chair ACAMS Nordics Chapter on navigating the choppy waters of remote working arrangements, keeping connected and the importance of flexibility when it comes to accommodating the work/home environment.
Karl-Johan Karlsson, Head of Compliance, Handelsbanken and Co-Chair ACAMS Nordics Chapter (Denmark, recorded on 24 March 2020)
April 15, 2020 17:00 - 7 minutes - 5.25 MBKarl-Johan Karlsson, Head of Compliance, Handelsbanken & Co-Chair ACAMS Nordics Chapter on navigating the choppy waters of remote working arrangements, keeping connected and the importance of flexibility when it comes to accommodating the work/home environment.
AML Innovators: Unsupervised Machine Learning - ThetaRay - Mark Sully and Yaron Hazan (UK/Israel, recorded on 7 April 2020)
April 15, 2020 17:00 - 19 minutes - 13.7 MBThetaRay - Mark Sully and Yaron Hazan discuss with Marie and Sam the use of unsupervised machine learning and AI to detect patterns of illicit activity, detecting unexpected activity related to terrorist financing, illegal gambling networks and working on the Russian laundromat case.
The Swedbank Case - High Risk Customers and KYC (Sweden/UK recorded on 6 April 2020)
April 15, 2020 17:00 - 23 minutes - 16.6 MBThe Swedbank Case - High Risk Customers and KYC Marie Lundberg and Samantha Sheen and a special guest examine high risk non-resident customers, playing hide and seek with UBOs of complex structures, how to use a "wallet company" to conceal financial activity and the operational realities of off boarding some high risk customers.
The First 18 Days
April 13, 2020 10:00 - 9 minutes - 6.97 MBThe podcast team review the highlights of the first 18 episodes covering a whole host of financial crime prevention topics and some heart-warming insights from podcast participants.
Women Fighting Financial Crime: Susanna Mills, Lead Anti-Financial Crime Specialist, OP Financial Group (Finland, on 6 April 2020)
April 13, 2020 09:00 - 11 minutes - 7.74 MBSam and Marie speak to Susanna Mills, Lead Anti-Financial Crime Specialist, OP Financial Group about some of Finland’s financial crime risks, transaction monitoring technology and the experience of transitioning to a new agile working model.
Susanna Mills, Lead Anti-Financial Crime Specialist, OP Financial Group (Finland, on 6 April 2020)
April 13, 2020 09:00 - 11 minutes - 7.74 MBSam and Marie speak to Susanna Mills, Lead Anti-Financial Crime Specialist, OP Financial Group about some of Finland’s financial crime risks, transaction monitoring technology and the experience of transitioning to a new agile working model.
Alexandre Pinot, MLRO and Head of Vilnius Office, Sonect (Lithuania, on 31 March 2020)
April 09, 2020 10:00 - 14 minutes - 10.1 MBAlexandre Pinot, MLRO and Head of Vilnius Office, Sonect on his global team, the use of cash and Coronavirus, regulatory support in Lithuania and mitigating the risk of business interruption due to staff illness.
Jayne Newton Practice Lead at Efficient Frontiers International (Leeds, UK on 5 April 2020)
April 09, 2020 10:00 - 17 minutes - 11.8 MBSam Sheen and Jayne Newton discuss tax KYC requirements introduced by the 5AMLD, the (zb) amendment to the UK's Anti-Money Laundering Regulations and how the new tax KYC requirements would apply to some of the customers described in the Swedbank case.
AML Leaders in Action: Alexandre Pinot, MLRO and Head of Vilnius Office, Sonect (Lithuania, on 31 March 2020)
April 09, 2020 10:00 - 14 minutes - 10.1 MBAlexandre Pinot, MLRO and Head of Vilnius Office, Sonect on his global team, the use of cash and Coronavirus, regulatory support in Lithuania and mitigating the risk of business interruption due to staff illness.
Tax Evasion Leaders in Action: Jayne Newton Practice Lead at Efficient Frontiers International (Leeds, UK on 5 April 2020)
April 09, 2020 10:00 - 17 minutes - 11.8 MBSam Sheen and Jayne Newton discuss tax KYC requirements introduced by the 5AMLD, the (zb) amendment to the UK's Anti-Money Laundering Regulations and how the new tax KYC requirements would apply to some of the customers described in the Swedbank case.
John Paul Eaton and Ricky Virdee, Executive Coach, Raising Your Game (UK, on 8 April 2020)
April 09, 2020 08:00 - 18 minutes - 12.8 MBJohn Paul Eaton and Ricky Virdee, Executive Coach, Raising Your Game (UK, on 8 April 2020) joins the podcast to share their expertise on NLP measures to help with stress, anxiety, communication and those never-ending "proof of life" video calls for work.
Ketil Clorius, FVP Head of Global Fraud Managment, Danske Bank (Denmark, on 5 April 2020)
April 09, 2020 08:00 - 21 minutes - 14.5 MBKetil Clorius, FVP Head of Global Fraud Managment, Danske Bank talks about his global fraud prevention team, the Bank's initiative to raise awareness about the recruitment of children as account mules to launder the proceeds of crime, the rise in social engineering fraud and balancing the need to provide consumers to with access to funds and mitigating the risk of criminals abusing current Corona Government assistance programs.
AML Leaders in Action: Ketil Clorius, FVP Head of Global Fraud Managment, Danske Bank (Denmark, on 5 April 2020)
April 09, 2020 08:00 - 21 minutes - 14.5 MBKetil Clorius, FVP Head of Global Fraud Managment, Danske Bank talks about his global fraud prevention team, the Bank's initiative to raise awareness about the recruitment of children as account mules to launder the proceeds of crime, the rise in social engineering fraud and balancing the need to provide consumers to with access to funds and mitigating the risk of criminals abusing current Corona Government assistance programs.
Greg Wlodarczyk, Senior Consultant at Fintrail (London, UK on 30 March 2020)
April 05, 2020 19:00 - 15 minutes - 10.6 MBGreg Wlodarczyk, Senior Consultant at Fintrail on the importance of technology and people for FinTechs, the FinTech Financial Crime Exchange (FFE), how changes in consumer behaviour affect AI and transaction monitoring and Fintrail’s survey results on the business continuity activities of the FinTech community.
Paul Burleton, Associate Director at Lysis Group (Cardiff, Wales on 25 March 2020)
April 05, 2020 19:00 - 13 minutes - 9.12 MBPaul Burleton, Associate Director at Lysis Group, on financial institutions BCPs, capital market crime risks, remote AML reviews and fraud risk mitigation.
AML Leaders in Action: Paul Burleton, Associate Director at Lysis Group (Cardiff, Wales on 25 March 2020)
April 05, 2020 19:00 - 13 minutes - 9.12 MBPaul Burleton, Associate Director at Lysis Group, on financial institutions BCPs, capital market crime risks, remote AML reviews and fraud risk mitigation.
Financial Crime Prevention Leadership: Ulrika Valassi, Head of Credit at DBT (Recorded on 24 March 2020, Stockholm, Sweden)
April 05, 2020 19:00 - 15 minutes - 10.6 MBUlrika Valassi, Head of Credit at DBT on the challenges for Swedish SMEs, the importance of teamwork, “sticking to your knitting” to mitigate financial crime risks and DBT’s initiative to support the Swedish Government during these uncertain times.
Ulrika Valassi, Head of Credit at DBT (Recorded on 24 March 2020, Stockholm, Sweden)
April 05, 2020 19:00 - 15 minutes - 10.6 MBUlrika Valassi, Head of Credit at DBT on the challenges for Swedish SMEs, the importance of teamwork, “sticking to your knitting” to mitigate financial crime risks and DBT’s initiative to support the Swedish Government during these uncertain times.
Financial Crime Collaboration: Greg Wlodarczyk, Senior Consultant at Fintrail (London, UK on 30 March 2020)
April 05, 2020 19:00 - 15 minutes - 10.6 MBGreg Wlodarczyk, Senior Consultant at Fintrail on the importance of technology and people for FinTechs, the FinTech Financial Crime Exchange (FFE), how changes in consumer behaviour affect AI and transaction monitoring and Fintrail’s survey results on the business continuity activities of the FinTech community.
Jayne Newton Practice Lead at Efficient Frontiers International (Leeds, UK on 30 March 2020)
April 05, 2020 19:00 - 21 minutes - 14.8 MBJayne Newton Practice Lead at Efficient Frontiers International. provides an easy to follow tutorial on tax KYC, its key requirements and how its importance to the new 5AMLD KYC review requirements.
Erik Morgan, Managing Director, Global Due Diligence, Royal Bank of Canada I&TS (London. Recorded 25 March 2020)
April 01, 2020 19:00 - 17 minutes - 12.4 MBErik Morgan, Managing Director, Global Due Diligence, Royal Bank of Canada I&TS (London. Recorded 25 March 2020) Sam and Marie discuss with Erik the relevance of market activity to transaction monitoring and understanding customer activity, the art of remotely motivating a global team and the importance of keeping alert to unanticipated financial crime risks.
AML Leaders in Action: Erik Morgan, Managing Director, Global Due Diligence, Royal Bank of Canada I&TS (London. Recorded 25 March 2020)
April 01, 2020 19:00 - 17 minutes - 12.4 MBErik Morgan, Managing Director, Global Due Diligence, Royal Bank of Canada I&TS (London. Recorded 25 March 2020) Sam and Marie discuss with Erik the relevance of market activity to transaction monitoring and understanding customer activity, the art of remotely motivating a global team and the importance of keeping alert to unanticipated financial crime risks.
Gregory Dellas, Chief Compliance and Innovation Officer, ECOMMBX (Cyprus, Recorded 25 March 2020)
April 01, 2020 18:00 - 16 minutes - 11.1 MBGregory Dellas, Chief Compliance and Innovation Officer, ECOMMBX (Cyprus, Recorded 25 March 2020) Sam and Marie discuss with Greg payment fintechs, innovation, uptake of mobile banking channels, risk management, and the sense of community in Cyprus and the irony of wanting to visit with others now that we can't.
Financial Crime Prevention Leadership: Gregory Dellas, Chief Compliance and Innovation Officer, ECOMMBX (Cyprus, Recorded 25 March 2020)
April 01, 2020 18:00 - 16 minutes - 11.1 MBGregory Dellas, Chief Compliance and Innovation Officer, ECOMMBX (Cyprus, Recorded 25 March 2020) Sam and Marie discuss with Greg payment fintechs, innovation, uptake of mobile banking channels, risk management, and the sense of community in Cyprus and the irony of wanting to visit with others now that we can't.
AML Leaders in Action: Gregory Dellas, Chief Compliance and Innovation Officer, ECOMMBX (Cyprus, Recorded 25 March 2020)
April 01, 2020 18:00 - 16 minutes - 11.1 MBGregory Dellas, Chief Compliance and Innovation Officer, ECOMMBX (Cyprus, Recorded 25 March 2020) Sam and Marie discuss with Greg payment fintechs, innovation, uptake of mobile banking channels, risk management, and the sense of community in Cyprus and the irony of wanting to visit with others now that we can't.
EFI Limited Case Study Podcast: It's a Family Affair - The Stratos Sanctions Case
April 01, 2020 18:00 - 37 minutes - 25.5 MBCase Study Podcast: It's a Family Affair - The Stratos Sanctions Case 1st case study of our podcast series analyses the tactics used to circumnavigate transaction monitoring tools to allow money to flow from Venezuela to Iran without detection. Looking at the tricks employed to conceal the true beneficial owners, this case is a great illustration of how sanctions restrictions can still be dodged without the use of stripping data from payment instructions.
The Swedbank Case - Transaction Monitoring - Thresholds, Scenarios and Customer Activity
March 31, 2020 18:00 - 18 minutes - 13 MBThe Swedbank Case - Transaction Monitoring - Thresholds, Scenarios and Customer Activity. Following the fine imposed on Swedbank in March 2020, hosts Sam & Marie examine the way transaction monitoring technology was calibrated, risk factors used by the tool, and what the Swedish FSA expects of financial institutions when it comes to using automated monitoring systems
Nassos Paltayian, Head of Compliance & Information Security Officer, Abacus Limited (Cyprus, Recorded 24th March 2020)
March 31, 2020 18:00 - 15 minutes - 10.8 MBNassos Paltayian, Head of Compliance & Information Security Officer, Abacus Limited. Sam & Marie discuss the COVID-19 restrictions in place in Cyprus, scam calls from North Korea, regulatory expectation, information security, and looking after the family in finding the beauty in the small things.
AML Leaders in Action: Nassos Paltayian, Head of Compliance & Information Security Officer, Abacus Limited (Cyprus, Recorded 24th March 2020)
March 31, 2020 18:00 - 15 minutes - 10.8 MBNassos Paltayian, Head of Compliance & Information Security Officer, Abacus Limited. Sam & Marie discuss the COVID-19 restrictions in place in Cyprus, scam calls from North Korea, regulatory expectation, information security, and looking after the family in finding the beauty in the small things.
AML Leaders in Action: Matt McGuire, Co-Founder & Practice Leader The AML Shop
March 30, 2020 21:00 - 13 minutes - 9.08 MBMatt McGuire of The AML Shop on Canada's changing AML's laws, BCP planning,criminal minds taking advantage of this current environment, and keeping in touch with your colleagues. Take advantage of the time to ramp up your knowledge on topics such as crypto-currency.
Matt McGuire, Co-Founder & Practice Leader The AML Shop
March 30, 2020 21:00 - 13 minutes - 9.08 MBMatt McGuire of The AML Shop on Canada's changing AML's laws, BCP planning,criminal minds taking advantage of this current environment, and keeping in touch with your colleagues. Take advantage of the time to ramp up your knowledge on topics such as crypto-currency.
AML Leaders in Action: Samar Pratt, Managing Director, Exiger, on Tech-enabled working, audit planning, Corona-fraud, & "New BAU"
March 28, 2020 19:00 - 14 minutes - 9.87 MBSamar Pratt, Managing Director, Exiger on financial crime risk management capabilities, tech-enabled working, audit planning, Corona-fraud and the "New BAU". Recorded on 24th March 2020. (lLondon, UK)
Tina Sorqvist, HR Professional (Sweden) - work, remote supervision and "cabin fever"
March 28, 2020 19:00 - 16 minutes - 11.5 MBTina Sorqvist, HR Professional on working from home, evaluating work performance during self-isolation, remote supervision advice and mitigating the risk of "cabin fever" using the Pomodoro technique. Recorded on 23rd March 2020 (Stockholm Sweden).
Trade Monitoring, Economic Sanctions and OFAC: Jason Rhoades, KPMG (USA) - OFAC, sanctions KYC, and evasion tactics
March 28, 2020 19:00 - 15 minutes - 10.9 MBJason Rhoades, Senior Manager, KPMG on OFAC sanctions, sanctions KYC, monitoring of trade activities, detection of evasion tactics, ongoing training and working towards a common goal. Recorded on 23rd March 2020 (Washington DC, USA)
Samar Pratt, Managing Director, Exiger, on Tech-enabled working, audit planning, Corona-fraud, & "New BAU"
March 28, 2020 19:00 - 14 minutes - 9.87 MBSamar Pratt, Managing Director, Exiger on financial crime risk management capabilities, tech-enabled working, audit planning, Corona-fraud and the "New BAU". Recorded on 24th March 2020. (lLondon, UK)
Jason Rhoades, KPMG (USA) - OFAC, sanctions KYC, and evasion tactics
March 28, 2020 19:00 - 15 minutes - 10.9 MBJason Rhoades, Senior Manager, KPMG on OFAC sanctions, sanctions KYC, monitoring of trade activities, detection of evasion tactics, ongoing training and working towards a common goal. Recorded on 23rd March 2020 (Washington DC, USA)
AML Subject Matter Gurus: Economic Sanctions and OFAC - Jason Rhoades, KPMG (USA) - OFAC, sanctions KYC, and evasion tactics
March 28, 2020 19:00 - 15 minutes - 10.9 MBJason Rhoades, Senior Manager, KPMG on OFAC sanctions, sanctions KYC, monitoring of trade activities, detection of evasion tactics, ongoing training and working towards a common goal. Recorded on 23rd March 2020 (Washington DC, USA)