BSA — Mastering the Basics

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BSA — Mastering the Basics

4/7/2022 09:00 AM - 04:00 PM (CT)

This workshop is perfect for the BSA officer who is new to the position or for BSA compliance staff who serve as backup to the BSA officer. We will cover all areas needed to gain a good understanding of the roles and responsibilities of this position, including properly completing CTRs and SARs, discussion of circumstances on when to file a SAR, understanding the importance of high- and moderate-risk customer monitoring, an overview on conducting a comprehensive annual exempt customer review and much more.

Who should attend: BSA officers, backup BSA officers, compliance officers and internal auditors.

$299 per person or website connection

Please note: Price is per website connection. You may have multiple people in the room from your financial institution only.

Agenda

This full-day webinar is from 9:00 a.m. – 4:00 p.m. CT

Lunch break from noon – 1:00 p.m. CT

• The webinar will be interactive, with ample opportunity for questions and answers about your most pressing BSA concerns.

   

• This webinar will be great as a standalone seminar or as preparation for one of our other BSA Workshops at two locations or our online webinar.

Presenters

Stephanie Jennings, CRCM
Manager, Compliance

Stephanie Jennings is a manager in Wipfli’s financial institutions practice. She has more than 18 years of experience in banking, including enterprise risk management, BSA and regulatory compliance, as well as information security and debt collections. Stephanie has an extensive background in regulatory compliance and is responsible for providing regulatory compliance audits and consulting services to financial institutions with assets ranging from $40 million to over $15 billion.

Kristen Ferwerda, CRCM
Manager, Compliance

Kristen Ferwerda is a member of Wipfli’s financial services practice, where she works with clients to assess the effectiveness of compliance and Bank Secrecy Act (BSA) policies, procedures and practices for both large and small financial institutions. With over 14 years of banking experience, she leverages her deep knowledge of BSA and regulatory compliance to provide clients with the necessary tools to be successful in their banking operations.

BSA Workshop Assessing and Managing Risk

 Advanced Preparation: None
Level: Basic Instructional
Prerequisite: None
Field of Study: Specialized Knowledge
CPE:  6.5 credits

Learning objectives:

1. Identify and select best practice requirements for a comprehensive risk assessment.
2. Complete CTRs and SARs for complex scenarios. 
3. Recognize how to identify, monitor and report suspicious activity via an automated surveillance system.
4. Apply and implement requirements of the beneficial ownership customer due diligence rule.

CPE

National Registry of CPE Sponsors: Wipfli LLP is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the national Registry of CPE Sponsors through its website: www.NASBARegistry.org.

Instructional Delivery: Online Webinar.  For more information regarding administrative policies, such as complaint, cancellation* and refund policies, please contact Mary Boortz at 715 858 6677 or mboortz@wipfli.com

Registration fees include:

• Up to 6.5 CPE credits in accordance with the standards of the National Registry of CPE Sponsors. CPE credits are granted based on a 50-minute hour.
• All participants will receive a copy of the Wipfli BSA Policy and gain an understanding of what a comprehensive written program should include.
• Reference materials (any PowerPoint presentations and/or additional references).

Cancellation policy
Cancellations made after March 28, 2022, will be charged $100 per person cancellation fee. If you cancel, you may send a substitute from your organization. Participants who register but neither attend nor cancel are charged for their full registration fee. Call Mary Boortz at 715 858 6677 for questions about this policy.