February 27, 2025 · Virtual

BSA/AML Basics Seminar

In the age of deregulation, BSA/AML is here to stay, with its ever-increasing compliance expectations. Compliance Alliance’s experts incorporate basic regulatory requirements alongside industry hot topics to cover the major cornerstones of BSA.

This one-day VIRTUAL seminar provides an up-to-date overview covering a wide range of top industry concerns to ensure your knowledge and understanding of BSA/AML requirements.

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When

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Where

Virtual

Highlights

  • Complying with BSA Regulatory Requirements
    Financial institutions are expected to comply with BSA regulatory requirements. This session will review requirements outlined by FINCEN and the FFIEC’s Examination Manual, including major components, reporting requirements and much more.
  • Risk Assessments and Assessing Customer Relationships
    BSA/AML Programs should be risk based and commensurate with a bank’s size and complexity. This session will focus on risk assessments, including what factors should be considered during the development stage and as part of your overall program. It will also touch on assessing customer relationships and how to ensure monitoring and due diligence is conducted based on risk level.
  • Preparing for the Exam
    What’s better than a successful BSA/AML examination? This session will look at examiner expectations, exam trends and best practices for preparing.
  • The Bank’s Customer Identification Program and Customer Due Diligence
    Are your CIP and CDD efforts enough? This session will provide a breakdown of the regulatory expectations for ensuring adequate CIP and CDD procedures. We will discuss
    documentation expectations, monitoring procedures, examples and industry best practices to name a few.
  • SARs and CTRs: A Closer Look
    We will provide a step-by-step review for completing a SAR and CTR. This includes the triggers for reporting, timing requirements, retention expectations, exemptions and best practices.
  • A Look Ahead: Updates and Hot Topics
    This session will dive into some of the hot topics impacting BSA. We will also take a look ahead as we discuss issues coming down the pipeline and how they could impact your BSA program down the road.
Schedule

Program: 9:00 AM – 4:00 PM
Lunch: Noon – 1:00 PM

Who Should Attend?

New BSA officers and staff (and anyone who needs a refresher), compliance officers, internal audit staff and any employee who assists with BSA monitoring, auditing or compliance.

Registration Fees

First Registrant: $425

Additional Registrant: $375

All Non-Members: $850

Virtual Presentation

Registrants will receive instructions in advance to access the online class and download the materials. Registrants will have access to a recorded copy of the session and materials for 90 days.

Registration & Cancellation

Register online or complete the attached form and submit via email. The fee includes access to the virtual seminar, program materials and session recordings.
IMPORTANT: Registration is per person. All attendees must be registered to ensure access to the program, materials, recorded content and to be eligible to receive CE Credit.

Cancellation/substitution requests must be made in writing. Email requests to education@texasbankers.com. Full registration fees will be refunded if written notice is received no later than February 19, 2024. Substitutions are permitted without penalty.

Continuing Education

Texas State Board of Public Accountancy: 7 CPE credit hours/day. There are no educational prerequisites.
ABA Professional Certifications: Application for CE credit review is pending approval. Attendees will be notified once the credit approval is received.

Presenter

Linsey Hugueley

Virtual Compliance Officer Compliance Alliance, Inc.

Linsey Hugueley is a Virtual Compliance Officer for Compliance Alliance and co-host of Compliance Alliance’s podcast, Banking Matters. She provides policy management guidance, aids in preparing and navigating audits and exams, leads compliance and/or BSA committees, updates banks on regulatory shifts, and regularly reports to the boards of the banks in her portfolio. She has over 15 years’ experience in the banking industry and has worked in every area of bank operations. During her time in banking, she served small-to-midsize banks and began her passion for AML/BSA. She has an innate desire for helping banks create and maintain robust programs and providing an in-depth understanding of compliance so that employees can see the “why” behind their job functions.

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