Managing BSA/AML Audits: Avoiding Pitfalls and Highlighting Needs
09-19-2024 1:00 PM EST.
Regulatory expert Timothy Dunfey will guide you step-by-step through the basics of a BSA/AML audit review, providing tips for managing the audit process and offering guidance on handling any issues that may arise.
What You'll Learn
- How to ensure the scope of your audit is comprehensive
- How to respond to sample requests
- How to handle known or perceived deficiencies
- How and when to report audit issues or potential audit issues to senior management or the Board
- Examples of how to identify and verify the identity of your customers
- Examples of how to identify risks
- Examples of important internal controls
- Typical systems for monitoring transactions
- Sanctions screening
- Suspicious activities reporting
- Data accuracy for decision-making And more!
Live Session
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$224.00
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$224.00
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INFORMATION
Training Overview
Recommended Audience
Who Should Attend?
- Financial crimes compliance attorney and consultant with over 20 years of experience in financial services management, sales, operations, and compliance
- Currently overseeing legal and compliance matters for a credit card company
- Previously Compliance Officer at Citibank, overseeing EDD for the highest risk customers, and Deputy BSA Officer at Great Florida Bank
- As a consultant with Promontory Financial Group, represented boards regarding regulatory deficiencies, managed numerous FCC improvement projects, and conducted audits and risk assessments across a wide variety of financial institutions J.D. degree