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Course description

This 1 hour course will assist BSA staff is managing  their financial institution’s higher risk customer portfolio and provide useful tips on how to conduct a comprehensive review in line with independent auditor and, most importantly, examiner expectations.  We will discuss industry best practices and provide guidance on completing properly documented reviews.   We will also discuss the process of migrating high-risk customers off the list.  We will cover what due diligence is most useful in determining the appropriate risk rating versus due diligence that provides little value to the high-risk management process.  Finally, we will discuss the tools that are available to beef up the reviews and pro-tips for streamlining the review process.

How much is too much or how much is too little monitoring for higher risk customers?  Can we get by with an annual high-risk review?  What about our moderate-risk customers? What are examiner expectations with managing higher risk customer relationships?  While monitoring is not a one size fits all approach, there is a right and a wrong way to conduct a review.  Those who get it right will be looked upon favorably by their independent auditors and examiners.  Those who do not, may face unwanted regulatory scrutiny.  


Who Should Attend:

BSA Officers, BSA staff, Compliance Officers, Internal Auditors, 


Robin Guthridge

Robin has a strong background in Bank Secrecy Act (BSA) compliance, leadership, and sales management. In addition to performing BSA examinations and validations of automated surveillance monitoring systems, she provides high level consultations regarding all aspects of the BSA and assists institutions with post examination remediation and enforcement action resolution. Robin is a sought-after speaker for local, state, and national industry events and provides customized BSA and deposit compliance training solutions. Her firsthand experience working in the financial services industry allows Robin to provide meaningful insight and helpful recommendations in the areas of BSA, Title 31, and deposit compliance. Her goal is to exceed expectations with every contact.

Course curriculum

  • 1


    • Access Webinar

  • 2


    • Slides

    • Questions and Answers


5 star rating

Mastering High Risk Monitoring - 2023

Benjie Crisp