Conducting a BSA Audit

Auditing & Accounting Compliance Operations Security & Fraud Senior Management Sales & Specials Bank Secrecy Act (BSA)Managers & Supervisors

On-Demand Webinar:

StreamedSep 30, 2024Duration90 minutes

Unlimited & shareable access starting two business days after live stream
Available on desktop, mobile & tablet devices 24/7
Take-away toolkit
Ability to download webinar video
Presenter's contact info for questions

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Are you up to speed on how to run a good BSA audit?

Auditing is an important tool at your disposal. It can alert you to issues that regulators might find – before they arrive. Get and stay ahead of the game with this detailed webinar that will cover key audit areas, potential weaknesses, and how to avoid them.

AFTER THIS WEBINAR YOU’LL BE ABLE TO:

Use the FFIEC exam manual to develop your audit procedures
Look at the big four — training, internal controls, BSA officers, and audit requirements
Drill down to the core of the examination — CIP, CDD, CTRs, SARs, 314 a and b, plus recordkeeping requirements
Examine today’s hot issues for money laundering and what to watch
Review the risk assessment process
Check the board oversight and culture of compliance

WEBINAR DETAILS

The BSA/OFAC audit is one line of defense before regulators arrive at your institution. The more well developed the audit is, the less likely a finding when the regulators come to call. This webinar will review the FFIEC exam manual procedures in key areas of audit and BSA/OFAC program weaknesses to guard against.

WHO SHOULD ATTEND?

This informative session is designed for BSA/OFAC auditors, compliance officers, BSA staff, and management.

TAKE-AWAY TOOLKIT

A copy of the FFIEC exam manual
Audit worksheet developed from the exam manual
Employee training log
Interactive quiz
PDF of slides and speaker’s contact info for follow-up questions
Attendance certificate provided to self-report CE credits

NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your institution is prohibited. Print materials may be copied for eligible participants only.