BSA/AML Compliance Checklists
Tuesday, January 7, 2014 from 10:00 AM to 11:00 AM (PST)
This training on the Bank Secrecy Act will highlight the development and implementation of BSA/AML Compliance Checklists. Attendees will learn the best practices to avoid BSA violations.
Why Should You Attend:
Although financial institutions have been managing BSA operations per the regulation requirements, the change in focus to BSA audits has been coming increasingly important. Regulators look to the Bank for insurance and evidence that BSA operations are being appropriately audited to ensure that BSA efforts are appropriately implemented and overseen. To ensure this is being done, BSA/AML checklists can assist in ensuring all components are being addressed and evaluated appropriately, as well as identify any deficiencies or gaps that need to be addressed.
“BSA / AML Compliance Checklists” highlights BSA / AML checklists that are being acknowledged and recognized by regulators and examiners. The areas of focus outlined in this webinar are based on best industry practice, supervisory experience and cover the major components of an effective BSA program that appropriate checklists focuses on. The instructor will look at these areas and the specifics of each area as it pertains to BSA.
In this webinar, instructor will discuss the checklists and how they can enhance a BSA/AML program.
Areas Covered in the Webinar:
- Developing BSA/AML Compliance Checklists
- Recommended fields for checklists
- Implementing checklists
- Assessing policies and procedures for checklists
- Determining effectiveness and thoroughness of checklists
- Ensuring qualified employee oversight of daily BSA operations
Who Will Benefit:
- BSA / AML Officers
- Internal Auditors
- Staff with roles and responsibilities in BSA / AML management and oversight
- Money Service Business BSA/AML Officers
- Corporate Audit
Dr. Gina J. Lowdermilk,PhD (ABD), CAMS, CRMS is a highly experienced and educated BSA/AML and Financial Regulatory Compliance professional with extensive policy and procedure development and implementation, training, internal audit, monitoring, risk management, and reporting experience. Her emphasis has been working with financial institutions that are experiencing regulatory concerns and resolutions, including enforcement actions such as memorandums of understanding and cease and desist orders. Her 15 years of experience has given her the opportunity to work from small community banks to large, international financial institutions. Her roles not only included BSA/AML and Compliance, but also operations, lending services, business development, marketing, management, department development, and asset quality.
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