Surviving a BSA Exam: Recent Hot Spots
Get a dose of BSA reality while learning about recent BSA hot spots. Get insight into recent citations and issues faced by actual BSA officers. Attend to learn important compliance issues to help you survive and thrive during your next BSA exam.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
• Detail examiners’ SAR filing expectations for risk-focused BSA/AML exams
• Define your institution’s current BSA/AML risks and the impact of pending BSA regulation and changes
• Use best practices to identify and monitor high-risk accountholders
• Explain the impact the AML Act may have on your current BSA/AML program
• Understand the highest-risk areas facing your institution, including cybercrime, human trafficking, drug trafficking, corruption, and fraud
Throughout life, we’ve all wanted to know what’s going to be on the test — and the BSA compliance world is no different. Luckily, past exams and public consent orders issued by the regulatory agencies can serve as lessons that can strengthen, improve, and enhance your BSA/AML compliance program and avoid similar issues.
This webinar will address recent citations and the issues real-life BSA officers are experiencing during exams. It will discuss the importance of communication between the BSA officer and the board in establishing a culture of compliance and also meeting examiner expectations of directors. This program’s focus will be the importance of timely and accurate SAR filings, BSA reporting requirements, and the essential components of a compliant CDD program. Join this hands-on training to learn how to avoid similar errors, test for these compliance weaknesses, and implement corrective action if needed!
WHO SHOULD ATTEND?
This informative session is designed for BSA/AML officers, compliance officers, and senior management.
• BSA policy checklist
• Sample SAR completion procedures
• SAR review checklist
• PDF of slides and speaker’s contact info for follow-up questions
• Attendance certificate provided to self-report CE credits
• Employee training log
• Interactive quiz
NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your agency is prohibited. Print materials may be copied for eligible participants only.
MEET THE PRESENTER — Dawn Kincaid, Brode Consulting Services, Inc.
Dawn Kincaid began her banking career while attending The Ohio State University. She has over 20 years’ experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Kincaid served as the Senior Vice President of Operations for a central-Ohio-based community bank, where she created and refined policies and procedures, conducted self-audits and risk assessments, and organized implementation of new products and services. Kincaid has served in the roles of Compliance, BSA/AML, CRA, Privacy, and Security Officer. She has led training initiatives, prepared due diligence information, completed a variety of regulatory applications, coordinated internal and external audits and exams, and presented for numerous state associations.
- $245 – Live Webinar Access
- $245 – OnDemand Access + Digital Download
- $320 – Both Live & On-Demand Access + Digital Download