BSA-AML Examiner School Case Study eBook

Internal Use Only #

BSA/AML/OFAC Risk Assessment Summary Conclusions July 2023

Unit Platform Risk Factors

Overall Risk # of Risk Measures Risk Distribution

Low Medium High

High High

6 6 4 6 2 6

0 0 3 3 1 1 2

2 2 4 0 3 0 1

4 4 6 1 2 1 3

Clients

Moderate Moderate Moderate Moderate Moderate

13

End Users Geography

Products and Services

BSA Operations

OFAC

Risk Distribution by Risk Factor

Number of Risk Measures per Factor

14

Unit Platform

12

Clients

10

End Users

8

Unit Platform Clients

Geography

End Users Geography Products and Services BSA Operations OFAC

Category

6

Number of Risk Factors Analyzed

Products and Services

4

BSA Operations

2

OFAC

Risk Category

0

0

1

2

3

4

5

6

7

Unit Platform

Clients

End Users

Geography

Products and Services

BSA Operations

OFAC

Low Moderate High