Performing BSA/AML/OFAC Risk Assessments Properly - NASBA CPE - 1.5

  • Speaker:Dr Gina J. Lowdermilk
  • Date: 7th March 2018 10:00 AM PST | 01:00 PM EST
  • Duration:60Min
  • Product Code:GRC-90227



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This 60-minute webinar will summarize the importance of performing BSA/AML/OFAC risk assessments properly. It will discuss the various components needed in order to implement an effective risk assessment, as well as, what is needed to maintain an appropriate risk assessment on-going of BSA/AML/OFAC.  It will provide insight to what regulators and examiners expect from financial institutions in their BSA/AML/OFAC Risk assessments.

Course Outline:
•    BSA/AML/OFAC Risk Assessment Expectations
•    Importance of working with all areas of financial institution for establishing appropriate risk ratings for BSA/AML/OFAC
•    Areas to be covered by the risk assessment
•    Risk rating guidelines and suggestions
•    Monitoring of risk ratings

Learning Objectives

Participants will be able to:
•    Conduct an effective  BSA/AML Risk Assessment for your financial institution
•    Implement effective BSA/AML risk assessments.
•    Implement best-practice risk assessment strategies
•    Advise management on continuous monitoring of BSA/AML risk
•    Advise management of how the BSA/AML risk assessment plays a critical role in the Enterprise Risk Model
•    Recommend BSA/AML risk assessment approaches and oversight

Who will benefit:
•    BSA Officers
•    BSA Personnel
•    Audit Personnel
•    Senior BSA management

Speakers profile:

Dr Gina J. Lowdermilk, PhD (ABD) is a highly experienced and educated BSA/AML and financial regulatory compliance professional with extensive experience in BSA/AML policy and procedure development and implementation, training, internal audit, monitoring, risk management, and reporting. Her focus has primarily been working with financial institutions that are experiencing regulatory issues, including enforcement actions such as memorandums of understanding and cease and desist orders. Her 15 years of experience has given her the opportunity to work from small community banks to large, international financial institutions. Roles have included BSA/AML and compliance, Money Service Businesses, privately owned ATMs, operations, lending services, business development, marketing, management, department development, and asset quality.

Ms. Lowdermilk has worked with almost all financial regulators and examiners. She possesses advanced Microsoft Excel, PowerPoint, Word, Internet Explorer, Visio, and Access skills. She also has experience with FiServ, BAM, CRA Wiz, TeamMate, COGNOS, and Metavante banking software. She has been responsible for creating both recurring and ad hoc executive management and board presentations. In addition to her above experience, she is also an adjunct instructor for the business and construction management programs at a local college, as well as writes numerous BSA/AML and compliance articles, training materials, and manuals for numerous clients.

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