An effective testing program is paramount to your compliance management system.
Self-testing can help you identify issues before your examiners do, allowing you to correct them before their next visit. But where should you start? This session will explore the Bank Secrecy Act / Anti Money Laundering examination manual and will discuss specifics related to testing methods.
- Background of BSA/AML requirements
- What will the examiners test?
- How to focus your testing based on your institutions risk
- How to utilize examination manuals to plan your testing
- What to test for disclosures, notices, etc.
- Transaction testing for the major BSA areas
- Common issues found
- Bonus: All participants will receive sample workpapers for transaction testing
- And much, much more . . .
Who Should Attend?
This informative session is designed for Quality Control Managers, Quality Control staff, Compliance Officers, Compliance staff, BSA Officers, BSA staff, Internal Audit Managers, and Internal Audit staff.
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