New York Professional Events List

AML/CTF Investigation and Identification (com)

Dec 07, 2017 - 08:30 AM - Dec 08, 12:30 PM
Tank Stream Hotel97-99 Pitt StreetSydney, NSW 2000Australia,

ZIP: Australia


This program is designed to assist in defining the investigation process and provide additional tools to support both the investigative teams and those who review the decision to submit a report or not. Using a number of scenarios throughout the program you will be asked to consider what investigative steps you would undertake to make a decision and assess potential changes in customer risk rating.

Designed for those who investigate, team leaders and managers the program reflects on regulator expectations and practical investigation activities commensurate with the type of alert.

If you are looking for answer of these questions, you would certainly benefit by attending this AML Workshop:

  • As part of your AML/CTF program there is a lot of focus on investigating unusual or overly complex transactions but what does this mean in practical terms?
  • How deep do you dive?
  • How broad is that investigation and what makes something suspicious enough to report?
  • How do you make sure every investigation is appropriate in an environment where volumes of alerts and staff numbers can be pressure points on the investigations team?
  • How do you train new team members in the investigative process?

Seminar Fee Includes:
AM-PM Tea/Coffee
Seminar Material
Attendance Certificate
$100 Gift Cert for next seminar


Why Should You Attend:

We will discuss, and add context to, the amount of information and other documentation included in SMR's when they are submitted. We encourage each attendee to bring along one, de-identified, scenario that can be worked through by the group as an exercise

Using real examples as case studies and identifying the benefits and pitfalls, this program is designed to help you understand:

  • First Principles - what is it we are trying to identify
  • Sources of alerts for investigations
  • Transactional driven v. customer profile driven investigation
  • Considering peer activity
  • The importance of taking a holistic view
  • Investigation effectiveness
  • Customer risk assignment and their activity
  • Recording the investigative process and reasons for decisions
  • Following up with customers; and
  • Making a report.

Learning Objectives:

  • Understanding the rules and regulator advice
  • Avenues of inquiry that can be used in an investigation
  • Consistency in assessing whether or not to report

Areas Covered:

  • Regulatory requirements
  • Better investigation practice
  • Building a holistic view of the customer
  • Examples of issues (case studies throughout the course); and
  • Managing investigation notes and evidence.

Who will Benefit:

  • MLRO's
  • AML/CTF investigation teams
  • financial crime compliance managers
  • internal auditors
  • Regulatory
  • Compliance
  • Staff with Roles and Responsibilities in AML Management and Oversight
  • Risk and Compliance Management
  • Compliance Analysts and Advisors
  • Company Management
  • Operational Risk Managers

Field of Study:

  • Auditing: 0.6 CPE Credit
  • Behavioral Ethics: 1.8 CPE Credit
  • Business Management & Organization: 4.8 CPE Credit
  • Personnel/HR: 1.6 CPE Credit
  • Regulatory Ethics: 1.2 CPE Credit
  • Specialized Knowledge and Applications: 2.4 CPE Credit

Program Delivery Method: Group-Live
Program Level: Basic
Advance Preparation/Program Prerequisites: None

David Harley
David Harley, CFE CAMS
Director at Delta Financial Crime Consulting Pty Ltd

EXPERT David Harley CFE CAMS – is a skilled and effective Anti-Fraud, Anti-Corruption and Anti-Money Laundering professional with over 30 years’ experience preventing, detecting and resolving issues that relate to fraud, corruption money laundering and terrorist financing. With a law enforcement background focused on criminal investigation and proceeds of crime, David has spent nearly 18 years working in a commercial environment dealing with fraud and corruption.

David has led the development of frameworks and policies, undertaken business partner reviews and lead a range of fraud and corruption investigations, across multiple jurisdictions, including Australia, Bangladesh, China, Indonesia, Papua New Guinea and the Pacific Islands.

He possesses an extensive repertoire of strategic and tactical knowledge and skills, including forensic technology, forensic accounting, data analysis and a range of investigation skills/methodologies, and is able to provide commercially and ethically sound remediation recommendations and systems-based solutions to mitigate future risks. David takes a holistic approach to risk and issue management and is committed to leaving a lasting and beneficial impact on businesses that extends long after the engagement is completed. An excellent communicator, teacher and mentor who regularly lectures in Certificate III in Investigative Services and Certificate IV in Government (Investigation) for registered training organisations.


Please contact the event manager Marilyn (marilyn.b.turner(at) ) below for: 
- Discounts for multiple participants.
- Require a price quotation.
- Require to pay by wire transfer or PayPal
- Invitation letter for visa applications

Service fees included in this listing.
This Event is Brought to You by: 

MYL170825CEV MAR170926UPT MYL171102UPA



DAY 01(8:30 AM - 4:30 PM)

  • Registration Process: 8:30 AM – 9:00 AM
  • Introductions
  • Lecture 1: What does the term suspicious transaction mean to you? (Group Discussion)
    • Do we have a common view of 'suspicious' even in our own business?
    • Does that view vary across your enterprise or product to product?
    • How far do you go to make the determination?
    • Do we go back to re-confirm our definition of 'suspicion'
  • Lecture 2: Regulators views on what 'suspicious' is
    • AUSTRAC's guidance and 'red flags'
    • The view of FATF and other regulators
  • Lecture 3: Sources of alerts for unusual matters
    • Automated transaction monitoring systems
    • The business units
    • Threshold or other regulatory reporting
    • Press, regulators and intelligence
  • Lecture 4: Investigating alerts (will include practical examples)
    • Defining our investigation - is it who or what?
    • Does the customer risk rating mean anything in the investigation?
    • Avenues of enquiry
    • Understanding the activity in relation to peer customer types
    • Gathering and reporting the facts

DAY 02(8:30 AM - 12:30 PM)

  • Lecture 5: Developing a repeatable process
    • Clarity around the objective - what am I trying to ascertain
    • When do you perform alert based ECDD - during the investigation or post report?
    • Documenting the process and each investigation
    • Arriving at a conclusion - to submit an SMR or not?
    • Defensive reporting
    • Impact of an SMR on customer risk rating?
    • Exiting customers
  • Q and A

Event Categories
Keywords: fun, analysis, applications, business , design , development , environment, Financial , framework , Fun


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