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Daniel E. Harris

Daniel Harris joined the Royal Bank of Scotland (RBS) Compliance Risk Management group as the Head of Compliance Assurance in April 2011. Mr. Harris created a firm-wide AML and Sanctions testing program across the Americas businesses of RBS to provide Senior Management with a level of confidence that the RBS AML and Sanctions Policy Standards are effectively implemented and regulatory risks are adequately managed. Prior to joining the Compliance Risk Management group, Mr. Harris was the RBS Group Internal Audit Partner for Regulatory Risk. Here Mr. Harris established the 4-phased approach for conducting AML and Sanctions Audits; targeting Sanctions Compliance, Transaction Monitoring, Client Due Diligence and Compliance Oversight. Mr. Harris came to RBS from ABN AMRO where he was the Senior Audit Manager specializing in AML and Sanctions Audits since August 2004.

Affiliation
Royal Bank of Scotland

Title
Head of Compliance Assurance, RBS Americas

 


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AUD1.1 - Examining New Expectations of the AML Audit Function 
Date/Time:
March 17, 2014   1:30pm - 2:45pm
 

 
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