Preparing for a BSA/OFAC Regulatory Examination

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

recorded version

1x Person - Unlimited viewing for 6 Months
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Recorded Link and Ref. material will be available in My CO Section
Last Recorded Date: Mar-2019

Training CD / USB Drive

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(For multiple locations contact Customer Care)
CD/USB and Ref. material will be shipped within 15 business days

Customer Care

Fax: +1-650-362-2367


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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

Vicki Landon
President, Landon Associates, Inc.

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 :
Detecting and Preventing Internal and External Fraud
Operations Risk Management and Mitigation

Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

If you have any concern about the content of the webinar and not satisfied please contact us at below email or by call mentioning your feedback for resolution of the matter.

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