Compliance and
Bank Secrecy Act

Compliance Infrastructure,

Bank Secrecy Act, and OFAC Program Advisory

Supporting Training Topics

Bank Secrecy Act (BSA)
Anti-Money Laundering (AML)
Office of Foreign Assets Control (OFAC)

Regulatory Compliance

BSA / AML

Representative Activities

Compliance

Evaluated regulatory Compliance program activities, including people, process, and technology related to the full suite of regulatory compliance policies.

  • Reviewed and enhanced the full suite of policies related to regulatory compliance for community banks
  • Developed standardized policy, procedure, and taxonomy framework to include:
    • Governance, controls, testing, and reporting within a three-lines-of-defense model

BSA/AML/OFAC

Evaluated the Bank Secrecy Act / Anti-Money Laundering (BSA/AML) program activities, including people, process, and technology related to alerts, investigations, and supporting models.

  • Implemented programs and policies for Sanctions (Office of Foreign Assets Control (OFAC)), Negative News, 314(a), Customer Information Programs (CIP), Beneficial Ownership / Controlling Party, and foreign entity research.

Regulatory Training

  • Developed comprehensive, multi-channel BSA Training activities tailored for the target audience in both information and messaging
    • General colleague knowledge
    • Role-based training for various customer-facing functions
    • Board of Directors content
  • Refreshed branding of training to maintain relevance and improve knowledge retention.
  • Published short topical videos and newsletters
  • Periodic webinars to discuss current regulatory events

Return to Services

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