Training Doyens

OVERVIEW The BSA examination process is intended to assess the effectiveness of a financial institution’s BSA compliance program and the institution’s compliance with the regulatory requirements related to the Bank Secrecy Act (BSA). A regulatory examination should cover a review of the risk management process, an analysis of the institution’s independent testing system, a detailed and thorough of the BSA compliance program, transaction testing where appropriate, a specific review of the suspicious activity identification, monitoring, and reporting systems, and a review of IT systems used in the BSA process.  This webinar will discuss ways of preparing for a BSA/OFAC regulatory examination by reviewing your previous examination or audit reports , available work-papers related to the examinations, and management’s responses to identified BSA issues. You will also want to review any correspondence between your institution and its regulators, law enforcement agencies related to...

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