BOL Learning Connect - Training Catalog- BANK SECRECRY ACT AND AML

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	Anti-Money Laundering Program: Your Early Warning System Presented by: Patricia Cashman What do a $55 million bank in Florida and Riggs Bank with $6 billion in assets have in common? They have both been assessed civil money penalties by FinCEN for deficiencies in their anti-money laundering programs. Financial institutions across the country have discovered too late that they are expected to have procedures in place to "properly identify or analyze or report" suspicious activity. Whether large or small, located in New York or Kansas, your regulator expects an effective and detailed AML program.
	BSA Audit Presented by: Patricia Cashman NEW EXAM GUIDANCE is out and you are expected to know what it says and how to implement it. Get a head start by knowing what is now required and how you should go about auditing for BSA compliance. Knowing what is examined helps you understand the spirit and intent of these rules and to build a solid compliance foundation that will improve your processes and your BSA program.
	BSA Compliance Management Update Presented by: Ken Golliher Ongoing Bank Secrecy Act (BSA) training is a legal requirement. For the experienced BSA Officer or Auditor, that training needs to focus on recent developments and reminders regarding key issues. This two hour session was designed for that group.
	CIP, Customer Due Diligence and Enhanced Due Diligence Presented by: Ken Golliher There is a new hierarchy of information requirements associated with account opening. It carries over to account monitoring after the account is established. Banks must obtain specific information required by law in their Customer Identification Program (CIP). From there, they move up to Customer Due Diligence and then Enhanced Due Diligence. Each regimen is a critical pulse point in the evaluation of any BSA compliance program and a key term in the revised BSA examination procedures.
	Customer Risk Assessment and Rating Presented by: Ken Golliher Examiners will ask banks for a list of their high risk customers in connection with on-site BSA examinations. "High risk" is no longer determined by arbitrary industry classifications, but by documented analysis conducted by the institution. This webinar shows banks how to organize and implement a system for identifying those customers. It also shows how to tie risk rating to monitoring and provides scalable samples for monitoring customer activity.
	Documenting Your BSA/AML/OFAC Risk Assessment Presented by: Ken Golliher Are you looking for an efficient, focused approach to conducting and documenting a risk assessment at your financial institution? Here it is! Banks are expected to conduct an assessment regarding the "quantity" of risk their institution incurs as a prelude to establishing a BSA/AML compliance program. An OFAC compliance risk assessment is also expected. In both cases, the assessment must be documented; i.e. in writing. The assessments must be updated periodically and examiners and independent auditors will request a copy of the current version at the inception of on-site BSA reviews. This webinar shows participants how to gather the necessary information and develop an appropriate document.
	Insider Tips on Banking MSBs Presented by: Ryan Rasske Not every bank should consider banking Money Service Business customers. But those that do must have a complete assessment of the risks involved in banking each current or potential MSB customer. Understanding the variables involved in potential MSB relationships is a key element in devising your MSB due diligence program. If your bank has current or potential MSB customers, this two-hour webinar will be an important investment in your successful management of your MSB program. Join Ryan Rasske for his Insider Tips for Banking MSBs.
	MSBs/NBFIs: Doing it Right Presented by: Ken Golliher Conducting and documenting the required risk assessment on NBFIs and MSBs (as well as other individuals and entities "of interest") is a focal point of the recently revised BSA/AML examination procedures. Identification of all high risk customers is also an essential prerequisite to performing the bank's "risk assessment," another focal point in the revised examination procedures.
	Preparing for the New BSA Exam Presented by: Ken Golliher The regulatory agencies recently published interagency examination procedures for Bank Secrecy Act & Anti-Money Laundering (BSA/AML) examinations. They are an incredible resource for supervised institutions and the agencies have promised both telephone seminars and live half day "introductory" sessions for the industry. This session will build on those offerings, presenting bankers with ideas on how to use the new procedures as tools in the maintenance and design of their BSA compliance and audit programs. It is presented from the perspective of the banker, not the regulatory agency.
	Reporting Suspicious Activity Presented by: Ken Golliher This program helps listeners analyze their responsibilities, understand the requirements for form completion and develop a formal filing process as recommended by bank regulatory agencies. It provides participants with an educational opportunity focused on SAR filing rather than the small amount of time oftentimes devoted to it during Bank Secrecy Act seminars.
	Recognizing Suspicious Activity Presented by: John Burnett Your anti-money-laundering program must include the human element � your institution's staff. Frontline personnel are the linchpin of every successful AML program. They are the "eyes and ears" of your organization, the sources for some of your most valuable "intelligence" in the ongoing battle to detect and report suspicious activity. Training your staff to recognize suspicious activity is a daunting challenge. It's so much more than warning them about structuring! You need to make the training experience real and meaningful for them.
	Revised BSA/AML Examination Procedures: Preparing for Your Next Examination Presented by: Ken Golliher Frequent violations of RESPA involve errors in completing the various RESPA disclosures such as the Servicing Disclosure Statement, GFE, HUD-1 and Hud-1A. This two-hour seminar focuses on proper completion of each of the RESPA disclosures.
	SAR Case Studies Presented by: Andy Zavoina Don't be sorry over SAR filing. Review the case studies and learn what is being done right and wrong before someone points to your SAR and asks "what were you thinking?" This informative review is meant to assist the new and the experienced employee with the basics of SARs as well as the fine points that make them useful, and help protect you from criticism.
	Suspicious Activity Reporting: How, when, why Presented by: Ken Golliher This training focuses on one of your institution's most difficult compliance responsibilities. The program simultaneously fills a legally required training responsibility, Suspicious Activity Report (SAR) completion. Well publicized enforcement actions have been taken against banks that neglected these responsibilities are increasingly common - you want to make certain your institution is not added to the list.
	SAR Decision Making and Documentation Presented by: Ken Golliher SAR filing decisions are the end result of one of the major compliance processes within your institution. That process should involve a number of people and systems and it must take place every day without fail in your organization. It is totally dependent upon tangible due diligence and enhanced due diligence processes. This session (originally presented at BOL's BSA Top Gun Conference) will help you develop a process that leads to a good SAR filing decision, one you can document and defend. The presentation does not deal with filling out the form; it focuses on the process leading up to a SAR filing decision.
	Keeping Bank Secrets: Things You Can Go to Jail for Telling Presented by: Mary Beth Guard "It's so easy to imagine how a bank employee could innocently - perhaps even with the best of intentions - mention something to another employee, or, even worse, directly to a customer, that would violate the law. In the case of the recently convicted loan officer, the subpoenas pertained to a customer whose personal and company debt to the bank amounted to more than $3 million. It was understandable that the loan officer wanted to get to the bottom of what was going on. Unfortunately, in doing so he ran afoul of the prohibition against disclosure that applied to the subpoena. The only way to avoid a similar problem is through appropriate training."