(ON DEMAND) Audit Compliance Series: Auditing for BSA Compliance

Email to order the Archived Webinar + Free Digital Download

BSA is comprised of four pillars:
Designated BSA officer
Development of internal policies, procedures, and controls
Annual training of all employees and the board
Independent testing and review

This webinar will provide the necessary tools to address the fourth pillar. Do you understand the scope and procedures necessary to ensure a comprehensive, risk-based audit program? This webinar will ensure your BSA audit is comprehensive and meets regulatory guidelines (whether you are conducting the audit or are the BSA officer monitoring whether a strong audit is performed).

This webinar will include resources to effectively test the adequacy of your BSA program. It will include a review of your BSA risk assessment and risk profile, the adequacy of the identification of higher-risk accountholders and transactions, and transaction testing of monitoring systems.

HIGHLIGHTS
How to get started with an audit game plan – from the examiners’ viewpoint
Making the audit risk-based
How to test down to the transaction level – including different transactional testing checklists
Determining whether your anti-money laundering program is adequate
What and how to report to the board
Handling third-party BSA audits

TAKE-AWAY TOOLKIT
BSA policy checklist
Sample BSA request memo
Transactional testing checklists for CIP, CTRs, cash aggregation, higher-risk accountholders, information sharing 314(a) & 314(b), funds transfers, SARs, privately-owned ATMs
Employee training log
Quiz you can administer to measure staff learning and a separate answer key

Attendance verification for CE credits provided upon request.

 
WHO SHOULD ATTEND? BSA officers, compliance officers, senior management, and internal staff who conduct audits

ABOUT THE PRESENTER – Ann Brode-Harner, Brode Consulting Services, Inc., began her career in 1973 and has continued her service as a consultant to regional and community financial institutions through a wide range of areas including strategic planning, lending, deposits, marketing, training, compliance, and management. Ann is a well-respected presenter and has spoken to audiences across the country for over 25 years. She has presented sessions for numerous state associations and has taught at the School of Banking Administration at the University of Wisconsin as well as many other state banking schools. Ann is the author of “The Bank Deposit Documentation Manual for Front-Line Personnel” published by Bankers Publishing Company, and is well represented in numerous industry publications.