On-site BSA/AML/OFAC Examination 2017

Topics

• Entry Letter Questionnaire - or - the First Day Letter
• Advance notice
• Scoping of the examination
• Gathering and Delivery of Entry Letter Responses
• Prior Examination issues: Remediation, tracking, and validation
• Examination activities, transaction testing, policies, procedures
• Preliminary close-out meetings
• Examination findings
• Delivery of the examination report
• Formal close-out meeting - with management with board of directors
• Establishing tracking for remediation of examination issues
• Responding to the examination report

Who should Attend

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