BSA-AML Examiner School - Series 2 eBook

Internal Use Only

Exam Results Reach a preliminary conclusion as to whether the following requirements are met: • The BSA/AML compliance program is effectively monitored and supervised in relation to the bank’s risk profile. • The BSA/AML compliance program is effective in mitigating the bank’s overall risk. • The board of directors and senior management are aware of BSA/AML regulatory requirements.

Internal Use Only

Exam Results

•BSA/AML policies, procedures, and processes •Internal controls •Independent testing