Beyond the Checklist: Driving Effective BSA/AML/CFT Risk Management

Join us for a practical roundtable on how financial institutions can move beyond a checklist-driven approach to BSA/AML/CFT compliance and build more effective, risk-based programs. We’ll discuss how to align monitoring, controls, and testing with your institution’s unique risk profile, strengthen the identification and mitigation of financial crime and fraud risks, and connect regulatory expectations to meaningful operational improvements. Participants will leave with practical insights for enhancing program effectiveness, improving audit and exam readiness, and better addressing emerging risks.

What You'll Learn

• Apply a risk-based approach to evaluating BSA/AML/CFT programs: Participants will discuss how to align controls, monitoring, and testing with the institution’s unique risk profile, including higher-risk customers, products, and activities.
• Enhance identification and mitigation of financial crime and fraud risks: Participants will identify emerging fraud schemes, red flags, and typologies, and discuss how to integrate fraud risk management into existing AML/CFT monitoring, investigation, and reporting processes.
• Translate regulatory expectations into practical audit and operational improvements: Participants will evaluate common examination themes (e.g., SAR quality, CDD/EDD effectiveness, monitoring design) and identify actionable steps to strengthen controls and demonstrate program effectiveness during audits and exams.

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Who Should Attend

This session is designed for professionals responsible for BSA/AML/CFT oversight, fraud risk management, compliance, and audit functions, including:

• Chief Compliance Officers
• BSA/AML Officers
• Fraud Risk Leaders
• Internal Audit Leaders
• Risk Management Executives
• Financial Crimes Investigations Leaders
• Operations and Compliance Testing Managers

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Presenters

• Drew Young, Managing Director (Host)
• Marissa Tartarini, Senior Manager
• Jennifer Bledsoe, Senior Manager
• Niki Henry, Senior

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CPE Information

Continuing Education: 1 hours of CPE credits (*To earn the full 1.0 credit, participants must attend a minimum of 50 minutes and respond to a minimum of 3 polls.)

Field of Study: Specialized Knowledge

Delivery Method: Group Internet Based

Program Level: Basic

Prerequisite: None

Advanced Preparation: None

Refund Policy: As this session is free of charge, no refunds will be issued

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The information provided in this communication is of a general nature and should not be considered professional advice. You should not act upon the information provided without obtaining specific professional advice. The information above is subject to change.