Preparing for a BSA/OFAC Regulatory Examination

Instructor: Vicki Landon
Product ID: 703554
  • Duration: 60 Min

recorded version

1x Person - Unlimited viewing for 6 Months
(For multiple locations contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section

Training CD

One CD is for usage in one location only.
(For multiple locations contact Customer Care)
CD and Ref. material will be shipped within 15 business days

Customer Care

Fax: +1-650-963-2556


Read Frequently Asked Questions

This webinar will address steps a company can take in advance to optimize the progress of a BSA/OFAC regulatory examination. It will provide guidelines for positively and accurately representing your AML and OFAC programs to regulators for the most efficacious outcome.

Why Should You Attend:

A BSA/OFAC regulatory examination can throw an unprepared financial institution into chaos and expose it to potentially expensive missteps.

This webinar will address what happens when the regulator arrives, how to handle questions, and how to document the examination. Materials include tools to organize for and track steps in the examination. It will guide you in putting a plan in place for the BSA/OFAC examination so that your organization will not be caught flat-footed.

This webinar combines experiences from examinations along with a tested approach to prepare your team – the AML/OFAC departments, documentation, agents, and business staff tasked with AML/OFAC responsibilities – to positively and accurately represent your AML and OFAC programs to regulators for the most efficacious outcome. At the end of the session, the instructor will invite your questions concerning BSA/OFAC examinations.

Areas Covered in the Webinar:

  • The "rule book" of various regulators
  • Putting your plan in place before receiving the regulator’s call
  • Organizing your team: BSA/OFAC compliance staff, business staff with AML responsibilities, senior executives, agents
  • Consolidating information on your organization’s BSA and sanctions risks
  • Organizing all relevant information relating to the BSA/AML and OFAC programs
  • Preparing your team, including communications protocols
  • Undergoing the examination
  • Following up

Who Will Benefit:

  • BSA/AML Compliance Officer
  • Chief Compliance Officers
  • Internal Auditors
  • Operational Risk Managers

Instructor Profile:

Vicki Landon, CAMS-Audit, CFCS, FLMI, and President of Landon Associates, Inc., provides BSA/AML, OFAC, and anti-fraud services to financial institutions. She brings extensive experience in BSA/AML/OFAC risk assessments, independent audits, vendor assessments, implementation of transaction monitoring systems, and other aspects of AML programs. She frequently teaches and presents sessions on AML, OFAC and anti-fraud topics for webinars and industry conferences, and has been published by the Association of Certified Anti-Money Laundering Specialists (ACAMS). Her background of 25+ years in financial services, financial services data and business processes, record management systems and AML transaction monitoring systems enable her to address all aspects of an AML program. She co-founded and co-chairs the Central Texas Chapter of ACAMS

Follow us :
ComplianceOnline Banking Summit 2016 | Risk Management and Data Security - 80390SEM
21 CFR Part 11 Compliance for SaaS/Cloud Applications - 80202SEM

Product Reviews

This product hasn't received any reviews yet. Be the first to review this product! Write review

Best Sellers
You Recently Viewed