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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


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