Introductory BSA/AML Examiner School, Providence, RI

Activity 2

• Complete the following steps. • Develop a plan for examining all of the lines of business in  the financial institution. Your plan must include steps for  ensuring that every line of business is examined within  the next 18 months.  • Make any reasonable assumptions that you feel would be  helpful, but be sure to make a note of them for discussion  purposes. Refer to the Riverside Community Bank case study (located in  the Risk Assessment section of the notebook )

Activity 3

• How would the acquisition of a new bank affect the  existing compliance structure for Riverside Community  Bank?  • Make the following assumptions: • The bank is in an adjoining state, has 15  branches and offers services that are identical to  those offered by your institution. • The existing BSA/AML Compliance Department  at the new bank is comprised of the BSA/AML 

Officer, also serving as the bank’s Operations  manager, and one other employee who is  shared with another area half of each workday.