Developing Risk Models for AML and BSA Monitoring Programs


  • What is a Risk Model and Its Purpose?
  • What can a Risk Model Do? What can’t it do?
  • Existing Risk Model, or factor rules/regs
  • How to develop a Risk Model
    • What do I need
    • What can I live without
    • Why does this all look so confusing?
  • Testing a Risk Model
  • Do I need more than 1 Risk Model, or the Flat Model Approach?
  • Documenting and Re-evaluating the Process and Resulting Model


Risk models provide an unbiased, empirical method to establish a risk score for a customer. In short, a risk model allows one to mathematically identify how risky a customer is without the biased emotional attachment that comes from relationships. With a defined model, an institution can take into account a multitude of factors and develop a method of ranking its business so that it can concentrate its AML/BSA efforts where they are needed.

Who should attend?

  • Risk and Compliance Management.
  • AML/BSA Officers¬†
  • Consultants in the AML/BSA Industry
  • Developers of AML/BSA software¬†
  • Regulatory Compliance Associates and Managers
  • Banks
  • Credit Unions
  • Domestic/International Financial Services Companies
  • Brokerage/Insurance Companies

Warren R. Markowitz


Warren R. Markowitz, is an attorney, consultant and experienced compliance officer. His background and experiences have placed him in the middle of the US Financial Markets since 1994. Mr. Markowitz provides hands on advisory services to domestic and international institutional service providers in their dealings with federal and state oversight authorities and self-regulatory organizations. As a lawyer and an advisor he provides his services through several consulting and technology advisory firms that he has worked with over the past two decades. His experience with regulatory bodies has enabled him to represent his clients and provide them with real world references and perspective when resolving pre-existing issues and avoiding new ones. Because of his experiences, he approaches each task as a chance to advance the needs and opportunities of his clients.


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