Webinar

Auditing for Compliance Part I: BSA/AML/CIP
A vital and mandatory component to a BSA compliance program involves provisions for the independent testing or auditing for compliance.

Several recent enforcement actions have cited deficiencies within the BSA/AML audits. 

Particular emphasis has been placed on the inadequacies of the scope, transactional testing and subsequent follow-up on findings. Whether you are an internal auditor or an outsource vendor, this program will help you identify deviations from laws, regulations and the institution’s policies, document your procedures and report the findings to management.

Highlights

  • Determining the objectives and scope of the audit that will include the required components,
  • Developing or adapting workpapers that adequately document the audit work performed and support the audit reports and
  • Preparation of written conclusion summaries, recommending corrective action and communicating findings to management.

Audience

Risk management officers, new and experienced BSA/ compliance officers and auditors. BSA/compliance officers can also use this program as a training tool for all applicable personnel.

Speaker

Patricia Cashman was formerly a partner in Cashman Compliance Solutions, LLC. She was responsible for consumer compliance reviews, BSA/AML reviews, and compliance and BSA training. Patricia began her banking career in 1969. She has been the senior operations officer for three Dallas-Ft. Worth area community banks, an assistant examiner for the Texas Department of Banking and she managed the compliance/internal audit division of TIB – The Independent BankersBank, one of the largest bankers’ banks in the country. Additionally, Patricia has presented webinars for the ABA, BOL and has taught at TBA and ABA Compliance Schools. She has also been a speaker/trainer for numerous banks and compliance organizations.

Credit Information

Institute of Certified Bankers: Visit http://www.icbmembers.org/login.aspx for instructions regarding self-reporting. Estimated credits: 2 hours/session

Pricing

Live Webinar:

Member price: $275.00 | Non member price $550.00

On-Demand Webinar

Member price: $295.00 | Non member price $560.00

Registration

Online: Visit the CBA Webinar Catalog

Mail: Click here and mail completed form with check payable to ConferenceEdge to: (Mail at least 10 days prior to event)

ConferenceEdge
1516 Xavier St., Ste 500, Denver, CO 80204

Phone: Call ConferenceEdge at (877) 988-7526 (credit card payments only)

Please Note:

  • Preferred Payment Method: Online
  • Please register online or by phone when paying with a credit card
  • Payment Must Accompany Registration – Invoices are Not Provided

Register online up to day of event. Earlier registration allows time to check your computer for an optimal experience.

Commands