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Independent Review for Banks - The Complete BSA/AML Audit Workbook

by Howard Steiner, Stephen L. Marini

Independent Review for Banks - The Complete BSA/AML Audit Workbook Synopsis

Using the FFIEC Examination Manual to conduct an independent review is like using the owner's manual of a car to judge a driver's abilities. Wrong tool for the job! The Complete Audit Workbook ensures that audit professionals and BSA officers have the right tool to conduct the PATRIOT Act (Section 352) required independent review. The Workbook breaks down BSA/AML regulatory requirements into component parts that enable an auditor to judge whether all the i's and t's of a BSA compliance program are dotted and crossed. Guidance for each major category of questions (over 50 in all!) is included. Audit traps, --items seen only in confidential exit interviews-- are also included. The audience for this book is both BSA auditors and compliance officers. The latter can utilize the Workbook to design a comprehensive, sustainable AML program. The former can use this Workbook to check their firm's BSA program status and carry out their duty to keep senior management informed.

Book Information

ISBN: 9780615237909
Publication date: 25th August 2008
Author: Howard Steiner, Stephen L. Marini
Publisher: ImpactAML-INX3 Financial press
Format: Paperback
Pagination: 380 pages
Categories: Economics, finance, business & management,

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