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Valuant is now Abrigo, giving you a single source to Manage Risk and Drive Growth

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DiCOM Software is now part of Abrigo, giving you a single source to Manage Risk and Drive Growth. Make yourself at home – we hope you enjoy your new web experience.

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TPG Software is now part of Abrigo. You can continue to count on the world-class Investment Accounting software and services you’ve come to expect, plus all that Abrigo has to offer.

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AML/CFT Advisory Services AML Training BSA Rules and Regulation

BSA Examination Prep Checklist

Preparing for a regulatory BSA/AML exam?  Getting ready for examiners can seem overwhelming, but organizing your checklist of pre-exam tasks will help build confidence before your BSA/AML examination begins. Banking examiners evaluate BSA/AML program compliance relative to the institution’s risk profile, so a critical aspect of being ready for regulators is to make sure you can show a risk-based approach to BSA/AML efforts.

Use this checklist of suggested key steps to ensure a smooth process for your next BSA examination, regardless of risk profile.

Download this BSA/AML exam prep checklist to learn:

  • Areas of your BSA/OFAC policy, risk assessment, and business continuity plan to review prior to your regulatory BSA/AML exam
  • Key questions to ask when reviewing your AML program quality assurance
  • Other steps your financial institution should take to ensure you are prepared for your next BSA examination

Interested in learning more about preparing for regulatory exams? Download our Guide for successful BSA/AML programs, or view our webinar BSA Exam Preparation 101: Hot Topics to Expect During Your Next Exam.

Need help preparing for your next BSA/AML examination? Learn how our BSA/AML consultants can enhance your readiness by conducting risk assessments, reviewing policies and procedures, conducting audits, and more.