Culture of Compliance
BSA/AML shortcomings have resulted in several recent enforcement actions. As a result, FinCEN emphasizes the importance of a strong culture of compliance. Compliance is a shared responsibility, and maintaining a culture of compliance is a key strategy in avoiding penalties and personal liability.
In this presentation, former OCC Examiner Jessica Caballero will discuss properly communicating with the board to ensure a good culture of compliance from the top down. She will cover board reporting, training, continuous communication and more.
Credits Awarded: 1.25 CRCM, 1 CAMS
Download to Learn:
- Ways to enhance communication between you and your board numbers in an effort to maintain a good culture of compliance
- Communicating compliance standards organization-wide
- Board reporting and team compliance best practices