Conducting a BSA Audit

Webinar | Recorded December 12, 2024 | 90-minutes | $199

Our BSA/OFAC audit is a line of defense before the regulators arrive at  your institution.  The more well developed the audit is the less likely of a finding when the regulators come to call.  During this webinar we will review the FFIEC exam manual procedures in key areas of audit and what we the financial institution should be looking for in weaknesses in our programs for BSA/OFAC.  We will bring you up to speed on all the things you need to know to run a good audit.

AFTER THIS WEBINAR YOU’LL BE ABLE TO:

• Use the FFIEC Exam Manual to develop your own audit procedures
• Look at the big four—training, internal controls, BSA Officer and Audit requirements
• Drill down to get specifics about the core of the examination—CIP, CDD, CTRs, SARs, 314 a and b, plus recordkeeping requirements
• Exam the “hot issues” today for money laundering and what your financial institution should look for
• Review the risk assessment process
• Check the board oversite and culture of compliance

TAKE-AWAY TOOLKIT

• A copy of the FFIEC Exam Manual
• Audit worksheet developed from the exam manual
• Employee training log
• Interactive quiz
• PDF of slides and speaker’s contact info for follow-up questions
• Attendance certificate provided to self-report CE credits

 WHO SHOULD ATTEND?

This informative session is designed for BSA/OFAC auditors, compliance officers, BSA staff and management.

Seminar Instructors

Deborah Crawford is the President of Gettechnical Inc., a Florida-based firm, specializing in the education of banks across the nation.  Her 40+ years of banking and teaching experience began at Hibernia National Bank in New Orleans. She graduated from Louisiana State University with both her bachelor’s and master’s degrees.  Deborah’s specialty is in the deposit side of the financial institution where she teaches seminars on regulations, documentation, insurance, and Individual Retirement Accounts.

Leslie Nicely, Senior Vice President for Gettechnical Inc. brings with her a wealth of practical banking experience.  Her 30+ years include various positions with a local community bank including teller, teller supervisor, new accounts, lending, Branch Administration Officer, BSA/AML Officer and Security Officer and more.  She graduated from the Virginia Bankers Association School of Bank Management. Her experience includes management, operations, lending compliance, fraud management, training, security and customer service.  Her down-to-earth approach to training and her technical expertise makes her a real asset to our industry.

Registration 

The cost to attend this 90-minute webinar is $199 for one connection*. *You may have as many listeners as you wish for your ONE connection (ONE computer login). If you would like additional logins for additional locations/computers, please contact our office or note names and email addresses in the comments sections of the registration form. A fee of $75 will be billed for each additional login. Please register the person you wish to receive the log-in and handouts links.

Registration fees include instruction, live interaction with the instructor, any updated manuals and materials used by the instructor (digital), and a link to the recordings of the class. (You will have unlimited access to the recording for 90 days.)

Cancellation and More Information

Full registration fees will be refunded if a cancellation is received on or before ten business days prior to the meeting. If the date of cancellation is less than ten days prior to the meeting, a $75 processing fee will be retained. No refunds will be given for cancellations made the day of the program. If you need additional information, please call (888) 773-4839.