BSA Examination Prep Checklist

Preparing for a regulatory exam can seem overwhelming. Organizing your pre-exam tasks will help build confidence before your exam begins. Your financial institution’s exam should be risk-based, so be sure to communicate expectations with your regulator. Use this checklist of suggested key steps to ensure a smooth process for your next BSA examination, regardless of risk profile.

Download this checklist to learn:

  • Areas of your BSA/OFAC policy, risk assessment, and business continuity plan to review prior to your 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? View our webinar BSA Exam Preparation 101: Hot Topics to Expect During Your Next Exam.

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