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Flagship Bank Minnesota

 
 
Risk Assessment review check list BSA
Contributed by:VP‚ Compliance/BSA/Legal
Asset size: Bank with between $500m - $1b
Location: Southeast
Description: Audit checklist to evaluate your BSA risk assessments against 2010 FFIEC manual

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MORE PEER CONTRIBUTED DOCUMENTS:

817 Documents 87 Answers 132 Exam Watches 77 Vendor Reviews

BSA Procedure for Identifying and Monitoring High Risk Accounts
Asset size: with under $250m
Description: Covers Identifying, classifying and monitoring accounts for BSA risk assessments
BSA Control Listing with audit procedures
Asset size: with
Description: Attached is a listing of possible controls you might have in a BSA risk assessment, as well as the corresponding audit procedures to go with it.
Branch Internal Review
Asset size: with under $250m
Description: The internal review document was developed to audit branches covering BSA,CIP, Reg CC, CRA, Notices, Logs, Key Control, Safe Deposit and Account Maintenance.


RELATED QUESTIONS AND ANSWERS:
Q
Procedures for tellers to identify suspicious activity
Asked by: SVP,‚ Compliance/BSA/Legal
Asset size: Bank with
Location:OH

We recently had State Safety & Soundness Examiners at our institution and although our BSA procedures were acceptable, they suggested that we have seperate procedures specific to our tellers allowing them to better recognize suspicious transactions and the procedures they should follow. Does anyone have anything on this?
A
Answered by:SVP, ‚ Compliance/BSA/Legal
Asset size: Bank with between $250m - $500m
Location: TX

Anything strange or unusual can be suspicious. If it meets the strange or unusual test, i...
Q
BSA Software
Asked by: VP,‚ Audit
Asset size: Bank with
Location:TN

Can anyone recommend software for risk rating customers for BSA enhanced due diligence?
A
Answered by:SVP, ‚ Compliance/BSA/Legal
Asset size: Bank with under $250m
Location: OH

I too recommend BankersToolbox BAM. It risk-rates the customers by product, geography, t...


RELATED EXAM EXPERIENCES:
State Regulatory - S&S | July 2011
exam experience posted by a VP‚ Technology from member with under $250m in assets
a selection of paid off loans since last exam
State Regulatory - S&S | September 2012
exam experience posted by a CCO‚ Back Office/Deposit Operations from member with under $250m in assets
ALLL metholologies - subjective factors.
FRB - BSA/AML | June 2011
exam experience posted by a Manager‚ Compliance/BSA/Legal from member with under $250m in assets
Lots of questions on how we determine our high risk customers

RELATED VENDOR REVIEWS:
Risk assessment/risk management
HEIT
Risk Assessment
T HOUSTON TECHNOLOGY
Risk Assessment
Catalyst Consulting Group
Risk Assessments for Financial Institutions
Alex Information
Information Technology (IT) risk assessment
WolfPAC

 
 

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