BSA Compliance Series:
Job-Specific BSA Compliance for Lenders

Wednesday, December 6, 2017

10:00 am – 11:30 am HST
12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET

BSA examiners are digging deeper and are asking more questions about the lending function during exams. Could a BSA examiner find loan fraud that had not been detected by your institution’s due diligence process? Is there a system for identifying false statements and identity theft attempts on loan applications? Will lenders know that these activities may require filing a suspicious activity report? Does your “system” work? This program will address five important reasons that BSA training must be provided for lenders and help prepare your institution for the beneficial ownership rule that becomes effective May 11, 2018.

Continuing Education: Attendance verification for CE credits upon request


  • BSA red flags and risk factors in lending
  • Due diligence questions to ask loan applicants
  • Steps for BSA due diligence throughout the life of the loan
  • Comply with the four core elements of the CDD rules that include:
    • Customer identification and verification
    • Beneficial ownership identification and verification of a "legal entity"
    • Understand the nature and purpose of customer relationships to develop a customer risk profile
    • Ongoing monitoring for suspicious transactions and maintaining and updating customer information on a risk basis

    • Customer due diligence checklists under the new rules
    • Template to develop a risk profile
    • Sample CDD policy
    • Procedures template for identifying and verifying beneficial owners
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key

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This informative session is designed for loan officers, loan operations staff, BSA officers, BSA staff, branch personnel, risk managers, compliance officers, and audit personnel.

PLEASE NOTE: Program content is subject to copyright and intended for your individual financial institution’s use only.