BSA-AML Examiner School Case Study eBook

DOCUMENT IN THE WORK PROGRAM (for efficiency) ITEMS TO REVIEW

For each section, include comments (date/updates), comments on the content, and discuss any occurrences of noncompliance. Also include any comments for improvement or deficeincies, as applicable.

BSA Risk Assessment (RA)

Comments:

Date of the BSA RA:

OFAC Risk Assessment (RA)

Comments:

Date of the OFAC RA:

Board minutes (Policy and RA)

Comments:

Reviewed [INSERT TIME PERIOD OF REVIEW]

Independent Test

Comments:

Reviewed [INSERT TIME PERIOD OF REVIEW]

Overall Comments

Include any comments about the overall recommendations, accountability, and escalations for non-completion.

For Training Purposes Only