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A Practical, Hands-On Learning Experience |
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DAY ONE - TUESDAY FEBRUARY 27
8:00 - 8:30
Registration
8:30 - 8:45
Opening Remarks
Ken Golliher and Mary Beth Guard
8:45 - 9:45
Common Violations: "Drop & Give Me Ten if You Still Get These Wrong"
Pat Cashman and David Dickinson
This session is conducted by seasoned operatives accustomed to conducting on site BSA/AML audits for their clients. They explore the most common violations they see in those examinations, explain how to avoid them, and, if necessary, how to fix them. Their comments address both technical compliance with BSA and the development of an appropriate AML program for your institution. Tips for identifying and avoiding common booby-traps are included.
9:45 - 10:00
Break
10:00 - 12:00
Compliance Tactics and Best Practices: How Does Your Institution Meet Specific BSA/AML Requirements?
Sai Huda, Ken Golliher, Pat Cashman, and David Dickinson
This is an interactive session with one Bankersonline Guru on the dais while others roam the audience with microphones giving attendees an interactive opportunity to ask questions and make comments. It focuses on the financial institution's tactical decisions; i.e. the alternative choices in BSA/AML compliance. For example: how much SAR information do you give to the board; do you participate in 314(b) information sharing; do you send wire transfers or sell monetary instruments to non customers; if you sell stored value (gift) cards, what restrictions do you impose; what are your customer due diligence requirements at account inception, etc.
12:00 - 1:00
Lunch
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1:00 - 2:45
Using the FFIEC BSA/AML Manual: The Field Guide.
John Burnett, David Dickinson, and Ken Golliher
Examination survival depends on familiarity with this resource and your ability to incorporate its guidance in day to day BSA/AML compliance efforts. This session focuses on reconnaissance and the development of tactics that incorporate the manual's guidance into your daily compliance efforts. During this tactical session we'll thoroughly scout the manual for land mines as well as ammunition for your own unit.
2:45 - 3:00
Break
3:00 - 4:15
Creating Esprit de Corps for BSA/AML Compliance
Ryan Rasske, Mary Beth Guard, and John Burnett
Would you consider your institution to have a strong Bank Secrecy Act (BSA) culture? Do your employees understand the regulatory requirements and potential ramifications for failing to comply with these laws? Developing awareness throughout all areas of your institution can be very difficult. This session will share some proven methods you can use to establish and implement an effective BSA and Anti-money Laundering culture from the top down. This will also include discussions on how to gain additional support from your board and build on-going relationships with your examiners.
4:15 - 5:30
Training: Providing Frontline Personnel with the Information They Need
John Burnett, David Dickinson, and Ken Golliher
Get your troops trained and trained correctly with well documented efforts. This session will discuss who should be trained, how they should be trained, tips for the drill instructor, how to keep it exciting and fresh, how to increase involvement of your trainees without dropping them for push ups. We'll also discuss training your top level corps - the generals (directors).
5:30 - 6:30
BSA "No B.S." Moderated Networking Reception
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This moderated networking reception will provide an opportunity for you to gather information from fellow attendees and share ideas of your own. Our belief is that there's a great deal of expertise and knowledge among the registrants and we want to facilitate the sharing of it. We'll provide hors d'oeuvres to give you plenty of energy. We'll also have ideas and sign-up sheets during the day for night-time activities and the No B.S. Session will provide a great launchpoint for those evening excursions.
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DAY TWO - WEDNESDAY, FEBRUARY 28
8:00 - 9:00
Breakfast |
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9:00 - 10:15
Looking for Infiltrators: Shape Up Your OFAC Program
Mary Beth Guard, John Burnett and Ken Golliher
Examiner expectations about OFAC compliance continue to tighten. That means it's time to master the basics and learn how to effectively enlist employees in your organization to march in lockstep with you to avoid violations of the Office of Foreign Assets Control regulations and sanctions programs. We'll teach you the fundamentals and help make sure you have the strategies necessary to honorably discharge your duties.
10:15 - 10:30
Break
10:30 - 12:00
Electronic Filing: Using the Best Available Technology in the Field
FinCEN
Meeting BSA's reporting requirements is time consuming and expensive. The most cost effective weapon in this battle is electronic filing. This presentation is an introduction to the E-Filing program that allows financial institutions to file CTR, ODEP, and SAR forms electronically. FinCEN representatives review the improved registration process for e-filing and the proper administration of an e-filing program.
12:00 - 1:00
Lunch |
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1:00 - 2:15
Risk Assessment: What Do You Need to Know Before You Deploy your Resources?
Kathleen Blanchard and Ken Golliher
Risk assessments have always been a practical necessity, but now they have risen to the level of a regulatory expectation. This presentation first focuses on the "big picture" risk assessment you will perform for your institution. It addresses how those results would drive the development of risk mitigation strategies; i.e. once you have identified the level of risk, how do you reduce it or manage it? The session also addresses how to perform risk assessments on individual customers so your institution can best allocate limited monitoring and documentation resources.
2:15 - 2:30
Break
2:30 - 3:45
Collecting and Transmitting Specific Intel: Filing Suspicious Activity Reports
Kathleen Blanchard, John Burnett, and Ken Golliher
Suspicious activity has popped up on your radar. What do you do now? You don't want to sound "general quarters" by filing a SAR unless the activity is really "suspicious." Nor do you want your troops sleeping through a situation that could truly pose risks, including reputational risk, to your institution. This session covers conducting and documenting a SAR investigation. It includes practical advice on tracking the information and keeping files ship shape so that you can extract data for management, board and regulatory reports!
3:45 - 5:00
Reporting to Your Commanding Officers: Providing Usable Information
Kathleen Blanchard, Ken Golliher, and Andy Zavoina
Your financial institution's Board of Directors is ultimately responsible for compliance with the Bank Secrecy Act, OFAC, etc. Besides SAR filings and risk assessments, what information should you report to the Board to keep them abreast of your BSA/AML compliance efforts? This presentation reviews best practices, recommendations and sample reports so that your board has the information they need to know that your institution's program is adequate.
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DAY THREE - THURSDAY, MARCH 1
8:00 - 9:00
Breakfast |
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9:00 - 10:15
Obtaining Basic Intelligence: CIP, Customer Due Diligence and Enhanced Due Diligence
John Burnett, and Ken Golliher
This session addresses the "what's required" and "what's enough" questions of data gathering operations. It focuses on the regulatory requirements and the regulatory review techniques associated with your institution's CIP. However, it then goes on to provide a practical, savvy analysis of what sound customer due diligence and enhanced due diligence programs might include. It focuses on the gathering of information that your institution might actually use in its efforts to distinguish unusual from suspicious activity and making those requests for information palatable to the customer.
10:15 - 10:30
Break
10:30 - 12:00
BSA Reconnaissance: Researching BSA/AML Compliance Questions
John Burnett, Ken Golliher and Andy Zavoina
You have your marching orders -- it is a research mission. You know your first stop has to be the BOL site, but there is so much there, how do you find just what you're after without bivouacking at your PC all night? Easy. You learn to work smarter, not harder. This means you learn where to search and avoid the mine fields that provide you good information, but take you off course. Learn how to read the map called the Launch Pad, how to search guru posts and threads, so that you find usable information that has practical applications. It is only good intel, when it is your intel. Learn the best techniques to navigate the BOL site with confidence and how to retain and save the information you find useful.
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