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    A Journey to AML Internal Audit


    As AML professionals we need to understand more about the roles and responsibilities of the 3rd line of defence and how AML audits are conducted internally. Toronto Compliance & AML Events (TCAE) would like to invite you to attend the first premium Knowledge Series event, hosted by Dennis Dai. Dennis will take attendees on a journey to learn more about the internal audit process and to understand some of the more common mistakes identified over the course of an AML internal audit.

    Learning Outcomes

    • Introduction to Internal Audit
    • AML Internal Audit Process
    • Common Mistakes and Lessons Learnt
    • Career Path and development in Internal Audit
    • Q&A

    Why The Knowledge Series Premium Session?

    • Unique topics and detailed sessions
    • Extended Q&A with the subject matter expert
    • Receive the recording of the session
    • Receive a PDF of presentation slides
    • Participants receive a Certificate of Completion once they pass the Knowledge Test


    Dennis Dai, Manager Enterprise Risk Services | MNP With deep knowledge and experience in managing all phases of internal audits and consulting engagements, Dennis develops practical solutions and delivers results for his clients. His cross-industry expertise includes public sector, financial services and technologies. He is currently working as part of MNP’s financial service niche and China niche to service financial institutions as the client relationship manager and/or engagement manager including schedule I, II and III banks, and credit unions. He is also managing MNP’s net worth verification service for the provincial nomination program on Ontario. Prior to starting his MNP career, He worked with BMO as Independent Control Manager to plan and lead the Independent Review Engagements for the Global Product Operations. The testing covers the SOX, AML, Compliance, Financial, Information Technology and Operational controls across North American operations. Before joining BMO, Dennis has led the Internal Audit Function of the Canadian Subsidiary of Industrial and Commercial Bank of China, the largest bank in the world in terms of market value. Reporting to the Audit Committee on a quarterly basis. He managed the entire audit plan including the engagements of AML/ATF Program, Treasury, Operations, Trade Finance, Retail, Commercial and Corporate Credit Lending, Compliance, Human Resources and ad hoc projects assigned from the Board of Directors. In this capacity he had oversight for the planning, execution and reporting of all audits. During his time with ICBC Canada, the Bank was subject to reviews by OSFI and FINTRAC, Dennis oversaw the collection of documentation for submission to OSFI and participated in interviews with examiners. He also worked as an Internal Auditor for Northeast Ohio Regional Sewer District after his graduation from Case Western Reserve University. Where he supports the Internal Audit Department to perform control testing and implementation of the audit tool.


    Souzan Esmaili, Founder | TCAE Souzan has over 14 years of international experience in consultancy and training with a focus in Regulatory Compliance, Anti-Money Laundering (AML), Anti-Bribery and Corruption (ABC) and RegTech. She worked for various financial institutions and consultancies in Dubai and Toronto. Souzan holds an MBA and achieved certifications such as Certified Anti Money Launder Specialist (CAMS), Post Graduate Diploma in GRC and FinTech Program from Oxford University. Souzan created the TCAE group with a passion to help and educate the AML and Compliance professionals in Canada.

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    Jan 19 2022


    10:00 am - 11:30 am


    CAD 10
    Toronto Compliance & AML Events


    Toronto Compliance & AML Events
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