C. Rachel Romijn
Senior Vice President and Compliance Director
Capital and Wealth Management Groups
WELLS FARGO BANK
Charlotte, North Carolina
This interactive discussion will explore the unique inherent risks
associated with wealthy and often high profile client types. The
session will cover and attendees will learn about these customers,
products, and often geography risks that are inherent to Wealth
Clients. We will also address potential mitigating factors in
addressing the risk points. Specific topics will include managing
reputational risk, profiling wealthy clients, the importance of a
strong source of wealth analysis and regulatory expectations for
beneficial ownership.
During this session, we will discuss how to implement and improve a
BSA Program in the Fiduciary and Wealth/Private Banking space.
Specifically, we will address the unique and not so unique risk
points and the importance of proactively managing reputational risk.
