Introductory BSA AML Examiner School Manual Palm Springs 2019

a prior examination report. The case study will then be built upon in the following sessions throughout the course.

Break

10:15 AM 10:30 AM 11:45 AM 1:00 PM

Risk Assessment Continued

Lunch

Core BSA Exam Procedures Amy Richardson and Jessica Southworth

This module will provide an understanding of the core BSA exam procedures, including examples, of the following areas: Customer Identification Program; Customer Due Diligence; Suspicious Activity Reporting; Currency Transaction Reporting & Exemptions; Information Sharing; Monetary Instruments Recordkeeping; Funds Transfers Recordkeeping; and OFAC.

Break

2:15 PM 2:30 PM 4:00 PM

Core BSA Exam Procedures Continued

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

4:30 PM Adjourn Wednesday, September 25, 2019 8:30 AM

Review of Day 2 Material Amy Richardson, Jessica Southworth, and Tom McVey

Core BSA Exam Procedures Continued

9:00 AM 10:15 AM 10:30 AM

Break

OFAC – Beyond the Bank Customers Norman Rozenberg A guest speaker from OFAC will discuss current developments and advisories issued. BSA/AML Compliance Program Structures (Enterprise-Wide Compliance) Amy Richardson In this module, we will assess the organization's enterprise-wide program for BSA/AML compliance through holding company or lead institution. This will include the risk associated with subsidiaries and affiliates Beneficial Ownership (trusts, lawyers, property managers). Lunch

11:45 AM 1:00 PM

Break

2:15 PM 2:30 PM

BSA/AML Compliance Program Structures (Enterprise-Wide Compliance)