The Top 20 Things that Irritate Your Regulator Relative to Your BSA / AML Program

Ever wonder what are the sore spots and sensitive items that irritate your regulator relative to BSA / AML compliance?  Would you like to know what not to do in order to keep your regulator content?  Care to learn what your regulator's hot buttons are?

This webinar has been compiled as a result of the speaker's direct first-hand experience with helping many financial institutions satisfy their regulators increasing expectations in developing and operating a high quality and thorough BSA / AML program.  The speaker has also had many conversations with a variety of regulators about this very topic and has plenty to share (20 things to be exact).

Your presenter, Sal Fragapane, has spent 23 years in the banking arena and during the past 8 years alone, he and his clients have successfully passed over 50 BSA / AML exams and audits.  By attending this popular webinar, you can leverage Sal's experiences in helping organizations like yours avoid the all too common pitfalls of things that will most certainly irritate your regulator relative to your BSA / AML program.

Covered Topics:

  • What your regulator would love to see relative to your exam preparation
  • Not using data that is readily available
  • The reliance (or not) on independent testing
  • A section of the USA Patriot Act that is often missed
  • Overused replies that your regulator is tired of hearing
  • The identification of high risk customers - a double whammy
  • Delay or avoidance tactics on behalf of the bank

Who Should Attend?

BSA Officers, BSA Analysts, Compliance Officers, Compliance Analysts, Risk Management Officers, Auditors.

"The material provided on Risk Assessments was interesting and informative." -Christine H., Fidelity Bank