BSA/AML Compliance: Best Practices for 2011
Ever wonder what BSA/AML examiners really think? Do you really understand what examiners expect? Can you meet those expectations? Do you work effectively with your examiners?
BSA/AML Compliance: Best Practices for 2011 provides an opportunity to probe the best practices in BSA/AML compliance management as you prepare for the demands of the new year in which there will be no slacking off in the regulators’ scrutiny.
This is one of CBA’s continuing series of BSA/AML seminars, focusing on developments in the world of BSA/AML compliance, best practices in risk assessment, internal controls, testing and internal audit, training, exam preparation, how to forestall exam problems, the penalties for non-compliance, and, in the worst case, living with enforcement actions. At the core of the program will be the examiners’ perspective on what they are seeing, what’s being done well, and how it can be done better.
Eligible Continuing Professional Education Credit Hours: 5.5
Agenda
The session will run from 8:30 A.M. to 3:30 P.M., with breakfast and registrations beginning at 7:30 A.M. and lunch at noon.
The context will be the implications of the Dodd-Frank Bill for compliance, as well as specific changes in BSA/AML regulations, including the revisions to the exam manual. With the perspectives of senior bank examiners specializing in BSA/AML, leading BSA compliance consultants, as well as a bank chief compliance officer with experience of compliance trouble-shooting, the seminar once again offers practical ideas for developing, sustaining and improving an effective BSA compliance process.
Agenda topics include:
The environment:
- Why BSA/AML is where it is today
- Compliance priorities: BSA vs. Safety and Soundness
- The intersection or BSA/AML and Fraud
- Trends and developments
Organizational Issues:
- Resourcing in down times: Doing more with less
- Maintaining MIS with reduced budgets
Reinforcing the fundamentals : Best practices
- Your Risk Assessment program: How thorough is it? How effective is it?
- Controls, compliance monitoring, and internal auditing
- Exams:
- The Exam manual
- Assessing the BSA/AML Program before the examiners do it for you
- Managing and learning from the exam process
Training: How to do it better
Keeping the Board involved
Third-parties: How to use them
Filing and Record-keeping: SARs, CTR, OFAC etc
- SARs: overfiling and underfiling; investigations and rationale for non-filing
Non-compliance: Enforcement Actions – avoiding them, living with them, overcoming them
Audience
Compliance officers and managers, BSA/AML officers, risk managers, operations managers, internal auditors, general counsel, and directors should attend.
Scheduled Speakers
The seminar will be presented by a faculty of consultants and regulators who will offer a wealth of experience in BSA and Anti-money laundering. They include:
- Christy Cornell-Pape, Case Manager Special Activities, FDIC
- Mary Hammond, BSA/AML Risk Coordinator, Federal Reserve Bank of San Francisco
- Alan Abel, Global AML Practice Leader, Crowe Horwath LLP
- Jim Porter, Compliance Program Manager, FinCEN
- Jon Wright, Compliance Consultant and Former SVP and Compliance Manager, Union Bank
Registration Fees
Early-Bird Registration through Friday, October 22, 2010
Member - $295
Non-member - $395
Regular Registration
Member - $395
Non-member - $495
Location Information
Tuesday, November 16, 2010
Westin St. Francis
335 Powell Street
San Francisco, CA 94102
(415) 397-7000
Thursday, November 18, 2010
Renaissance Hollywood Hotel
1755 North Highland Ave.
Hollywood, CA 90028
(323) 856-1200
CBA has a Room Block rate of $179/night – Call: (866) 835-7681 and reference the California Bankers Association or click the following link to make reservations online:
Hollywood Renaissance CBA Room Block
CBA will host self parking for this event
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