In this seminar, we will review program compliance issues such as:
· What should an audit cover?
· Is the audit/auditor thorough enough?
· What are the signs of a good audit?
· Is your staff training sufficient?
· Do you have a well-documented process for making a SAR filing determination?
The seminar will also cover the following:
· “Four Pillars” of BSA/AML/OFAC compliance
· What law enforcement would like you to know about writing SAR narratives
· When you should use the “other” box as a reason for filing a SAR
· What you should NOT reveal when contacted by law enforcement agencies in regard to a SAR
· When a SAR is not required to be filed
· A review of recent regulator findings and cease and desist orders
· Law enforcement cases bolstered by CTR and SAR filings
· Common reasons for SAR filing and common errors to avoid
The educational investment is $230 per person. Small credit union discount applies!
Registration deadline: June 7, 2013
Mary-Lou Heighes, CCUE is President and Founder of Compliance Plus, Inc. Mary-Lou has been involved in the credit union movement since 1989 and spent five years working in credit unions in almost every position (except teller and CEO). Like many credit union veterans, she has worn many hats, including the all-encompassing OTHER DUTIES AS ASSIGNED. That background made an easy transition to the Research and Information Department at the California Credit Union League where she spent seven years providing compliance assistance through the Information Hotline and writing and editing TIPs bulletins advising credit unions about changes to regulations affecting them. During her tenure at the league and continuing for many years thereafter, she spent many long hours drafting, rebutting and advising on legislative issues at the state and federal level.
Since founding Compliance Plus, Inc., Mary-Lou has been helping credit unions large and small with the development of compliance programs, providing compliance training all over the country for various leagues and credit unions speaking at numerous credit union conferences throughout the country. She has been an instructor at Regulatory Compliance Schools; she conducts dozens of webinars for credit unions throughout the county and she has written articles for Credit Union Magazine.
Who Should Attend
This seminar is dedicated to those managers, CEOs and credit union staff who are directly responsible for day-to-day BSA compliance.
Agenda (all times shown are local time)
9 – 9:30 a.m. Registration & refreshments
9:30 a.m. – Noon Seminar begins
Noon – 12:45 p.m. Group Luncheon
12:45 – 4 p.m. Seminar continues