BSA-AML Examiner School Case Study eBook

First page Table of contents Next page Last page
TS&J Bank Case Study Introduction3
Examination Planning - TS&J Bank5
BSA Request List for TS&J Bank5
Pre-Exam E-mail to read Internal Memo8
Internal Memo Regarding Recent Visitation9
Pre-Exam E-mail from EIC12
Pre-Exam Email Attachment - Draft Org Chart14 - 15
BSA/AML OFAC Policy16
BSA Officer Resume47
BSA Risk Assessment - 202352 - 53
BSA Risk Assessment BSA - 202354 - 55
Updated BSA-AML Risk Assessment 12-2023 from President Tallon80
Risk Assessment - 3rd party BSA monitoring for BaaS program92 - 93
Independent Test104
FinCEN Student Instructions105
FinCEN Filing Summary Statistics TS&J Bank106 - 107
TS&J Bank FinCEN Data108 - 109
Training - Student Instructions126
Training Spreadsheet128 - 129
Core Procedures157
CIP & CDD157
CIP - Student Instructions157
2024 AML CFT Transaction Testing TS&J Bank - Student Version158 - 159
Approved Documents for CIP Verification for Unit182
Sample CIP and CDD for BaaS194
Sample Community Bank CIP Balindo200
Sample Community Bank CIP Zaemato - Together201
Information Sharing202
FinCEN 314 (a) Student Instructions202
FinCEN 314(a) SISS Activity Report204 - 205
AML Bank Log for 314(a)258
CTRs259
CTR - Student Instructions259
CTR Cudy John260
CTR Northern FUel II LLC270
CTR Sulze Amy277
CTR Znkov Sim278
CTR Exemptions280
CTR Exemptions - Student Instructions280
Bank Exemption List281
Review of Exemptions - Hubby's283
Review of Exemptions - Night Society284
Monetary Instruments286
Monetary Instruments Student Instructions286
MIL Tracking Log288 - 289
Wire Transfers290
Wire Transfers - Student Instructions290
BAAS FinTech Wire Sample259
Wire Data Example - FinTech Wires291
Sample FinTech Wire 1292
Sample FinTech Wire 2293
Sample FinTech Wire 3294
Community Bank Wire Sample295
Sample Community Bank Wire Depperman Customer Form295
Sample Community Bank Wire Depperman296
Sample Community Bank Wire Smith Customer Form297
Sample Community Bank Wire Smith298
MSB Exam Scenario Exercise299
MSB Exam Scenario Exercise - Student Instructions299
MSB Exam Scenario FinCEN Data302 - 303
BSA Officer Meeting Instructions329
BSA Officer Meeting Student Instructions329
BSA Officer Interview - Instructor Evaluation330
BSA Officer Meeting Self-Evaluation331

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