Webinar: Conducting a BSA Audit
September 30, 2024 11:00 am - 12:30 pm
Are you up to speed on how to run a good BSA audit?
Auditing is an important tool at your disposal. It can alert you to issues that regulators might find – before they arrive. Get and stay ahead of the game with this detailed webinar that will cover key audit areas, potential weaknesses, and how to avoid them.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
- Use the FFIEC exam manual to develop your audit procedures
- Look at the big four — training, internal controls, BSA officers, and audit requirements
- Drill down to the core of the examination — CIP, CDD, CTRs, SARs, 314 a and b, plus recordkeeping requirements
- Examine today’s hot issues for money laundering and what to watch
- Review the risk assessment process
- Check the board oversite and culture of compliance
WEBINAR DETAILS
The BSA/OFAC audit is one line of defense before regulators arrive at your institution. The more well developed the audit is, the less likely a finding when the regulators come to call. This webinar will review the FFIEC exam manual procedures in key areas of audit and BSA/OFAC program weaknesses to guard against.
WHO SHOULD ATTEND?
This informative session is designed for BSA/OFAC auditors, compliance officers, BSA staff, and management.
TAKE-AWAY TOOLKIT
- A copy of the FFIEC exam manual
- Audit worksheet developed from the exam manual
- Employee training log
- Interactive quiz
- PDF of slides and speaker’s contact info for follow-up questions
- Attendance certificate provided to self-report CE credits
Speaker: Deborah L. Crawford, GetTechnical Inc.
Deborah Crawford is the President of Gettechnical Inc., a Florida-based firm specializing in the education of financial institutions across the nation. Her 30+ years of experience began at Hibernia National Bank in New Orleans. She graduated from Louisiana State University with both her bachelor’s and master’s degrees. Debbie specializes in the education of financial institution employees and officers in the areas of deposit account laws, new account documentation, insurance, complex compliance regulations, and IRAs.