BSA/AML Examiner Training Series 2

Internal Use Only

Exam Results

Internal Use Only

Exam Results

The examiner should:

• Develop and document conclusions about the BSA/AML compliance program’s adequacy. • Discuss preliminary conclusions with EIC and bank management. • Present these conclusions in a written format for inclusion in the report of examination (ROE). • Determine and document what regulatory response, if any, is appropriate. • Evaluate the thoroughness and reliability of any risk assessment conducted by the bank.