BSA/AML Examiner School - Case Study Oct 2023

First page Table of contents Next page Last page
Case Study Introduction2
Exam Planning4
BSA Request List4
Pre-Exam Email6
Prior Exam Comment8
Organizational Chart10 - 11
BSA OFAC Compliance Program12
Risk Assessment - BSA AML and OFAC32
Audit - April 2015 Interim BSA Review38
Audit - Independent Review & Workpapers42
FinCEN136
Training138
Bank Employees138
BSA Staff Training 2016141
BSA Staff Training 2015142
Training Certificate143
Core Procedures144
CIP144
Instructions144
CIP Sample145
Brittany Gate146
Cheyll Grace148
Clair N. Mount150
Frank Drake151
Jane Fort153
Jet Lee Fredwicks155
Kay Fredwicks157
Les Mitch158
Mark Cross159
Sara Taylor160
Timothy Grace162
Tori Underwood164
Customer Due Diligence & Enhanced Due Diligence166
Instructions166
CIP Business Profile Sample167
Correspondence Sample169
Information Sharing170
314 (a) Instructions170
FinCEN Information Sharing 2015-2016171
FinCEN Information Sharining 2016-2018172
Bank 314(a) Logs173
SISS Activity Report180 - 181
CTR186
CTR Instructions186
Todds County Golf187
Blue Parkway EZ Stop193
Export Services199
Frog Bay Apartments205
Tay Gatewood211
Fraightway216
Dennis Miller222
Neil Strong227
CTR Exemptions232
Instructions232
Bakers Inc.233
Account Info233
Account Statements234
Annual Review243
CIP Business Profile244
CIP245
Secretary of State247
Todds County Eatery250
Account Info250
Account Statements251
Annual Review262
CIP Business Profile263
CIP264
Secretary of State266
Monetary Instruments268
Instructions268
Brenda Moseley269
Kathie and Luke Brooks270
Nick North271
Rick Lynn272
Steve Kelly273
Wyett James Monroe274
Wire Transfers276
Instructions276
Incoming Transfers Log278 - 279
Outgoing Transfers Log288 - 289
Acewood Enterprise Wire298
Bill Bays Wire300
Brad Presley Wire302
David Turley Wire305
East Tennessee Title Co Wire307
Lisa Rack Wire310
Main Street Place Wire312
MSB Examination Scenario316
FinCEN Data319
BSA Officer Interview Instructions326

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