Managing the Alert/Case Clearing Investigation Process - BSA/AML/OFAC Compliance 2019

Topics

• Alert and case clearing methodology
• The industry standard for the investigation process
• The importance of an alert/case management system
• The quality control issues that can arise
• The escalation process – what is practical and proper and at what point you decide to file
• Determining the difference between a false positive and a true positive
• Determining what might be excessive false positives for your institution and how to "fix" that

Who should Attend

• Compliance Officers
• BSA/AML Officers
• Sanctions Officers
• Chief Compliance Officers
• Risk Officers
• AML Analysts
• Legal Departments
• Chief Risk Officers
• CEO/Presidents
• Risk Managers
• Broker-Dealers
• Banks
• Money Services Businesses
• Other non-bank financial institutions