Introductory BSA AML Examiner School Manual Palm Springs 2019

BSA/AML Examiner School Palm Springs, California September 23 - 27, 2019

Monday, September 23, 2019 8:30 AM

Opening Remarks and Course Discussion Amy Richardson, Jessica Southworth, and Tom McVey Review of Pre-Course Material Amy Richardson, Jessica Southworth, and Tom McVey

9:00 AM

Break

9:45 AM 10:00 AM

BSA Regulations and History Tom McVey This module will provide the initial history and background of the Bank Secrecy Act regulations as it pertains to financial institutions.

Lunch

11:45 AM 1:00 PM

FFIEC BSA/AML Examination Manual Amy Richardson

This section will provide an overview of the FFIEC BSA/AML Examination Manual, which provides guidance to examiners for carrying out BSA/AML and Office of Foreign Assets Control (OFAC) examinations. FinCEN Database and Download Amy Richardson and Jessica Southworth This module will provide an overview of the FinCEN database and its use in BSA/AML examinations.

2:00 PM

Break

2:45 PM 3:00 PM

BSA Examination Planning Amy Richardson

This section will provide guidance and utilize a case study to assist in preparing for an examination through effectively scoping and planning a BSA examination.

Wrap-Up Session Amy Richardson, Jessica Southworth, and Tom McVey

4:00 PM

Adjourn

4:30 PM

Tuesday, September 24, 2019 8:30 AM

Review of Day 1 Material Amy Richardson, Jessica Southworth, and Tom McVey

Risk Assessment Tom McVey

9:00 AM

Develop an understanding of the risk assessment implemented and utilized to determine the bank risk profile. The case study performed throughout the course will begin with the development of an initial risk assessment utilizing the bank risk profile, an analysis of bank activity, and the review of