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Preparing for Your Next BSA/AML/OFAC Examination
(Presented By: Ken Golliher)
WHAT?
This webinar focuses on how to prepare for an on - site examination for Bank Secrecy Act (BSA) and anti-money laundering  | WEBINAR TIME:
11:30AM - 1:30PM PT
12:30PM - 2:30PM MT
1:30PM - 3:30PM CT
2:30PM - 4:30PM ET |  |
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(AML) and OFAC (Office of Foreign Assets Control) compliance programs.
WHY?
BSA/AML/OFAC examinations have a significant impact on the rating given to your bank's management in a safety and soundness examination. With the advent of homogenized examination procedures, on - site examinations are increasingly predictable in their scope and content; i.e. it is easier to prepare for an examination than it once was. This Webinar focuses on the things your institution can do to anticipate and facilitate the on - site examination. It will help you organized your thoughts and your compliance efforts in anticipation of critical analysis by a third party.
PROGRAM CONTENT?
Reviewing the preceding regulatory examination
The most recent independent examination and its role as a springboard for the regulatory examination
Interagency guidance on enforcement actions; i.e. identifying "hot spots"
Reviewing Appendix H as a method of exam preparation
Developing a "transparent" compliance program
Evaluating your risk assessment
Evaluating the "pillars" of your BSA/AML/OFAC compliance effort
Staying current with recent developments and changes in regulatory philosophies
Organizing your part of the on-site exam
Staying abreast of developments during the examination process
Resolving disputes with regulatory personnel
Contacting ombudsmen when necessary
The exit conference
Evaluating and responding to the written report of examination
Reporting examination results and remedial efforts to the Board of Directors
WHAT DO YOU WANT TO HEAR ABOUT DURING THE SEMINAR?
There will be Q & A's during the program, but if you want to submit questions in advance or make certain your topic is addressed, send them to seminars@bankersonline.com Put "BSA Exam Prep" in the message line.
WHO?
The program is designed as an update for experienced BSA officers and auditors employed by banks, thrifts and credit unions. It is not designed as a general review or to meet the needs of line personnel or other types of financial institutions.
About the Speaker:
Ken Golliher is a principal with Pegasus Educational Services, LLC, a training firm headquartered in Louisville, Kentucky. He is an experienced banker with a unique ability to reduce complex legal concepts to plain English. He has explained the "why" and "how" of regulations to thousands of financial institution personnel and examiners. Ken's banking career began in 1972 and includes serving as a teller, commercial operations manager and as trust department legal counsel in a state and a national bank. For ten years he headed the education division of a regional consulting firm for financial institutions. He has served on the faculty of the LSU Graduate School of Banking, the OTS' Level I Compliance School and the FDIC's Advanced Consumer Protection School for examiners. He has presented seminars in more than 25 states and has served as an instructor at compliance schools sponsored by the Illinois, Indiana, Georgia, Kansas, Kentucky, Nebraska, Pennsylvania and Texas bankers associations. He is one of the moderators for the Bank Secrecy Act forum at http://www.bankersonline.com/
More information...
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888-229-8872