CCBN BSA/ AML 2020 AGENDA

DAY ONE FEB 11

DAY TWO FEB 12

DAY 1, FEB 11

9:00      Introductions / Welcome All!
 
9:15       Roundtable Discussions
              Participant Introductions & Expectations

•    Issues to Address in the Next Two Days (table groups)
  1. Brainstorm
  2. Prioritize
  3. Report Out

 10:15       Networking & Refreshment Break (visit sponsor tables)
 
10:45       BSA Analyst Concurrent Track – Pt. 1   
Analyzing Key Elements of a Robust AML Program - Victor Cardona, CAMS – SVP, BSA Officer, Golden State Bank

• Know Your Customer (KYC) and Customer Due Diligence (CDD & EDD)
• High Risk Customers
• Beneficial Ownership
• Inconsistent Transactions
• Enhanced Due Diligence Tools
• Creating an Effective Risk Assessment

BSA Manager Concurrent Track – Pt. 1
What Your Board Needs to Know - BSA/AML Case Study – Jason A. Chorlins, CPA, CFE, CAMS, Principal, Kaufman Rossin
A presenter-led case study focusing on how a community bank can develop and maintain a strong and effective BSA/AML program.

• How to identify and correct problems stemming from recent audits and regulatory examinations, along with a look at the compliance risk-management structure and overall management of the program.
• The case evaluates a variety of BSA concerns and task-driven results, and considers individual responsibilities as well as the role of committees, working groups and the bank’s board of directors in the process.
• Keeping your Board members informed is critical. The case asks how effective your BSA Officer’s communication is with the board, ranging from routine reports to extraordinary “Matters Requiring Attention?”
• This case considers the type and reporting frequency of information most needed by the board, along with documentation needed to support it.

 
12:15       LUNCH
 
1:15       BSA Analyst Concurrent Track – Pt. 2
         Identify Suspicious Activity – Liz Slim, CAMS - Senior Consultant, Volkov Law Group

• The Who, What, Where, When and Why's of Preparing a SAR
• Suspicious Case Studies (1, 2 & 3)
• Suspicious Activity Reports Requirements
• FinCEN numbers of SARs files
• SAR Requirements   

 
BSA Manager Concurrent Track – Pt. 2
What's on Your Next BSA/AML Exam? – Brian Pfeiffer, Senior Risk Examiner & BSA Subject Matter Expert, FDIC & Kimberly Schaefer, CPA, CAMS, BSA/AML Compliance Policy Specialist - OCC

• Anticipate and prepare for the next exam: recent hot spots, trends, and remediation from last time
• Responding to the pre-exam questionnaire
• Tips on organizing and documenting materials, as well as identifying key contacts as among the critical action items
• Lessons learned from recent exams, along with recommended preventive/corrective actions and survival skills

 
2:45   Networking & Refreshment Break (visit sponsor tables)
 
3:15    BSA Executive Panel - Hear directly from our bankers on how they are approaching BSA/AML and the tactics you can apply at your bank.
Moderator: Liz Slim, CAMS - Liz Slim, CAMS - Senior Consultant, Volkov Law Group
Panelists:

• Edward Gerovian, First Vice President, BSA Investigations Manager - Bank of Hope
• Cynthia King, CAMS, First Vice President, BSA Manager - Farmers & Merchants Bank
• Sandy Ondatje, Vice President, BSA Officer - State Bank of India (California)

 
4:30     HAPPY HOUR!    SoCal ACAMS Chapter
 

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