BSA/ AML Compliance Audit

Posted By: sgm

BSA/ AML Compliance Audit - 10/27/11 07:14 PM

Does anyone have any good workpapers to complete a full BSA/AML Compliance Audit? We have been asked to "beef" our internal BSA Audits up by including an audit based on the FFIEC Manual - including all products / services by type - looking for a start to tackle this project....

THANKS!
Posted By: E.E.G.B

Re: BSA/ AML Compliance Audit - 10/28/11 12:58 PM

The exam procedures are probably the easiest thing to use.
Posted By: Kathleen O. Blanchard

Re: BSA/ AML Compliance Audit - 10/28/11 01:16 PM

That's what audit firms do..use the manual!
Posted By: dickr

Re: BSA/ AML Compliance Audit - 10/28/11 03:51 PM

This might be helpful as well.

http://www.bankersonline.com/tools/audit_area.html
Posted By: sgm

Re: BSA/ AML Compliance Audit - 11/02/11 05:11 PM

We have been using the FFIEC Manual, but were looking for an actual worksheet to complile the data and utilize as our work-papers.
Posted By: J2C

Re: BSA/ AML Compliance Audit - 11/02/11 07:38 PM

we just used our internal audit program format and added everything from FFIEC