2017 KYC & CDD Forum

Professional Development


Practical guidance on using best practices and technology to streamline your KYC and CDD processes

Know Your Customer (KYC) & Client Due Diligence (CDD) are at the heart of financial crime risk management within the financial services industry. Regulators are increasingly focused on the quality and appropriateness of KYC & CDD carried out both at client on-boarding and review stage. After many years of legislative pressure, financial services businesses are still wrestling with the challenges presented by complex business models and relationships and this one-day Forum will examine key issues faced by those working within this field.

This KYC & CDD Forum will look at practical ways in which businesses may streamline KYC processes through technology and best practice. Hearing from industry experts, delegates will increase their knowledge and understanding of the Jersey 'obliged persons' regime, implications for KYC of the 4th EU AMLD, how best to use digital screening technologies and how to spot 'red flags' when carrying out KYC & CDD.

With specialist speakers from the local financial services industry, this event will be practical, topical and informative.

Venue: Jersey International Business School

Suitable For

Financial services professionals, specifically those working in compliance and those responsible for client on-boarding.

6 CPD hours
7 hours

This course has already run and a new date has not yet been scheduled. Please contact us to register your interest.


Spotting 'red flags' in CDD - 'to SAR or not to SAR, that is the question…'

Carly Williams
AML Compliance, MLRO/MLCO – Senior Manager at RBC Wealth Management

Carly has worked in the financial services industry in Jersey for the last 19 years, having started her career within Fiduciary Services, with a predominant focus on company secretarial work. She then moved into the Funds industry and established a client due diligence team looking at investors in Private Equity and Real Estate Funds. It was during this time that she obtained International ICA Diplomas in Compliance and AML and began to specialise in AML and Due Diligence.

Following a period of work in the UK, which provided additional onshore experience, Carly settled back in Jersey with RBC Wealth Management 6 years ago. She currently heads the Jersey AML team and has been the MLRO and MLCO for the last two years.

Understanding the 'Obliged Persons' regime

Charles D.W. O'Sullivan
Compliance Officer at STM Fiduciaire Limited

Charles is a former banker with 40+ years’ experience in Finance including Accountancy, Trust and Company Administration, the Money Markets in Jersey and London (13 years), Investment Management Administration and 5½ years with the JFSC as a Banking Regulator. He returned to Industry as Head of local Compliance of a major international bank before becoming Risk and Compliance Manager for the Jersey subsidiary of a major Dutch Group. He then joined the Group Compliance of a local law firm to implement the 2008 AML/CFT Handbook and advise on financial regulation and compliance. After acquisition of the firm by a US Funds Administrator, he held the roles of Compliance Officer, MLRO and MLCO and AML specialist. He is currently a Trust Company Business Compliance Officer and is also a Private Practitioner Member of the Jersey AML Steering Group.

Utilising risk screening technologies effectively given regulatory requirements

Tom Devlin
Chief Operating Officer at KYC360 Technologies Group

Tom is a barrister and former investment banker. Between 2012 and 2014, he led a team of 30 in the conduct of a complex, multi-jurisdictional investigation into a unit of one of the world’s largest banks. He is responsible for the co-ordination of all design, development and marketing work undertaken by KYC360 Technologies Group companies.

Online CDD Monitoring using investigative techniques

Colin Tansley MSc, M.A.B.I, ABILD-TAP cert.
Cyber Intelligence specialist and trainer at Intelect Solutions Limited

Colin is the founder and Director of Intelect Solutions Ltd. He has over 35 years' investigative experience in law enforcement and the private sector. His company specialises in harnessing the Internet to gather intelligence, conduct confidential investigations for his clients or training people to do the same.

He has delivered his acclaimed training all over the world to delegates ranging from compliance officers, investigators, police officers, prosecutors and risk managers. His courses have particular appeal to the financial services sector which has led him to train in territories such as the Isle of Man, Jersey, Guernsey, Northern Cyprus, Albania, Croatia, Kosovo, Montenegro, Serbia and Malta.

Also a qualified and experienced trainer Colin is a member of the Association of British Investigators and the British Institute for Learning & Development (BILD).

Challenging CDD myths - why your training might not be effective

Jo French
Director of Education at Jersey International Business School

Jo has worked in offshore financial services since 1988 and is a Fellow of the Institute of Chartered Secretaries and Administrators. Jo previously ran the ICSA programme at BPP Professional Education where her students won many of the international prizes. Jo has also taught on CMI and ACCA.

In addition she is a senior lecturer for the International Compliance Association delivering on their full range of AML and compliance qualifications. As well as exam training and involvement on JIBS’s extensive public programme, Jo specialises in developing bespoke, technical in-house CPD programmes covering a range of AML, compliance and governance issues. Clients include the British Bankers' Association, the Association of Corporate Service Providers in the Isle of Man and the Guernsey Training Agency.

A committed educationalist, Jo obtained a First Class Law Degree in 2005 (LLB), facilitated through the Open University. In 2015 she was awarded a Merit in a Masters in Law (LLM) from Queen Mary University of London specialising in financial services law. She is passionate about the delivery of accessible and innovative training courses.

Sharing best practice in documenting Source of Wealth

Chris Usher
Chief Executive Officer of Jersey International Business School

Chris has over 20 years’ experience in financial services, working both in the UK and offshore, for major financial institutions such as Barclays Wealth and Santander.

He now specialises in delivering training in investment management, taxation and regulatory issues. Formerly an International Investment Manager he advised both individuals and corporate entities on complex investment scenarios. One of his students was awarded the highest global mark ever, out of 10,000 students, for the level six Private Client Investment Advice & Management paper (PCIAM) awarded by the Chartered Institute for Securities & Investment (CISI).

Notably, Chris has trained on behalf of the British Bankers’ Association in London on regulatory matters and was also invited to speak at the Association of Certified Anti-Money Laundering Specialists (ACAMS) conference in Miami in 2013 on the topic of ‘Understanding the Criminal Vulnerabilities of Offshore Products and Services’.

CDD monitoring - best practice and meeting the regulator's expectations

Janice Drum
Head of Compliance for UK/CI at Alter Domus

Janice Drum is Head of Compliance (Channel Islands, UK & Ireland) for Alter Domus. She is also the named CO/MLRO/MLCO for Alter Domus (Jersey) Limited.

Janice is a highly experienced compliance professional with over 30 years' experience within the finance industry in Jersey. She has worked in compliance for 12 years including 2 years in the supervisory team at the JFSC. As part of her compliance positions she has been responsible for the oversight of the compliance function of a number of jurisdictions including Guernsey, UK, Ireland, Luxembourg, Dubai and Hong Kong, and is experienced in the regulatory and AML requirements for these jurisdictions. Janice holds the Securities Institute Diploma, an MBA and ICA AML Diploma. She has been a member of the JCOA committee for over 4 years.

Panel discussion: 4th EUAMLD – Implications and key considerations for Jersey

George Pearmain
Lead Policy Adviser – Private Wealth and Financial Crime for the Government of Jersey

George has worked for the Government of Jersey (States of Jersey) since 2012 advising initially the Minister for Economic Development, and more recently the Chief Minister of Jersey on policy and legislative development in relation to the financial services industry.

George currently takes lead responsibility for Government engagement in both the private wealth management sector and financial crime policy along with a variety of other day-to-day work across the financial services industry.

George has a background in commercial litigation with a particular focus on fraud, regulatory and trust disputes.

2017 KYC & CDD Forum

Date: 25 Apr 17     Time: 09:15 - 16:15      Cost: £325