BSA/AML Compliance Checklists

Duration: 60 Minutes
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 also the instructor will discuss the checklists and how they can enhance a BSA/AML program.
BSA/AML Compliance Checklists
Product ID: 503513
Objectives of the Presentation
  • 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
Why Should you Attend
Financial institutions' BSA Programs must have adequate policies and procedures, comprehensive risk assessments, monitoring programs, training programs, qualified employees overseeing the BSA daily operations and independent testing programs. To ensure the BSA program is comprehensive, BSA/AML checklists can be used for evaluation and monitoring, as well as a tool for identifying areas that must be addressed.

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.

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
Topic Background
Financial institutions are required to be compliant with BSA rules and regulations. Such compliance needs to be well documented and consistent to ensure financial institutions avoid BSA violations and implications. Effective BSA / AML checklists will ensure that all these components are not only implemented but are appropriate, adequate and thorough to meet the BSA rules and regulations and the needs of the financial institution. Having a strong BSA program will ensure that financial institutions are proactive in preventing BSA violations occurring and implementing corrective action for BSA issues or implications that may be identified in the BSA program.

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. "BSA / AML Compliance Checklists" highlights BSA / AML checklists that are being acknowledged and recognized by regulators and examiners.

$200
Recorded Session for one participant
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How it works
Live Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • The webinar joining link, username and password for joining the webinar will be updated on your OCP Account 24 hours prior to the webinar
  • Presentation handouts in Downloadable PDF format will be updated on your OCP Account 24 hours prior to the live session
  • Login to the audio conference on the scheduled date and time
  • Get answers to your queries through interactive Q&A sessions via chat at the end of the session
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account 24 hours after the completion of the session
  • Please let us know your thoughts and views at the end of the webinar, your valuable feedback will help us improve
Recorded Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • Upon purchase of the recorded session a link will be updated on your OCP Account within 24 hours
  • Please click on the link to access the Recorded Session
  • Presentation handouts in downloadable PDF format will be updated on your OCP Account within 24 hours of the purchase of the product
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account after 48 hours of the product Purchase
  • Please share your valuable Feedback at the end of the session
Instructor Profile:
Dr. Gina J. Lowdermilk, PhD (ABD), CAMS, CRMS is a qualified 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 on 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 with 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.

Ms. Lowdermilk has worked with all of the financial regulators and examiners. She possesses advanced Microsoft Excel, PowerPoint, Word, Internet Explorer, Visio, and Access skills. She also has experience with FiServ, BAM, CRA Wiz, TeamMate, COGNOS, and Metavante banking software. Gina has been responsible for creating both recurring and ad hoc executive management and board presentations. In addition to her above experience, she is also an adjunct instructor for the business and construction management programs at a local college, as well as writes numerous BSA/AML and Compliance articles, training materials, and manuals as per clients’ requests.


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