This fast-paced and informative session is for anyone who has ever experienced anxiety, or lost sleep, over an upcoming BSA/AML examination. The expert panelists will provide specific details on topics such as conducting a pre-exam risk assessment, presenting formal remediation plans to examiners, or updating your BSA program policy to ensure it incorporates the latest standards. It’s a vitally important and can’t-miss session, brimming with practical advice from AML veterans who, when it comes to exams, have been there, done that – and will show you how to do it better.
• Documenting updated training tailored for specific lines of business, and preparing LOB leaders to discuss management commitment to first line of defense
• Validating internal controls for issues such as high-risk client monitoring to affirm second line of defense strength and self-disclosing identified gaps and resolution plans
• Substantiating activities of internal audit to confirm empowered third line of defense and demonstrate enterprise-wide culture of compliance
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