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Lexis Nexis BSA Officer's Administration Handbook
Providing the tools necessary to make sure that your institution's BSA/anti-money laundering program is effective, this handbook, written by financial consultant Dena Somers, contains explanations of regulatory requirements, sample policies and procedures, checklists, and training outlines for the staff of each department or operational area of a financial institution.
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LexisNexis Sheshunoff
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Product description
Ensure that your institution's BSA/anti-money laundering program is effectively implemented by all of your staff members
Every area of your financial institution is responsible for complying with the Bank Secrecy Act (BSA) and anti-money laundering (AML) requirements — from your tellers to the directors of your institution.
Sheshunoff®'s BSA Officer's Administration Handbook provides the tools necessary to make sure that your institution's BSA/anti-money laundering program is effectively implemented by everyone in your organization. This handbook provides explanations of regulatory requirements, sample policies and procedures, checklists, and training outlines for the staff of each department or operational area of a financial institution.
Organized primarily by job function so that you can easily find specific procedures and related laws and regulations for each department, this comprehensive manual covers:
• Procedures and information that the Bank Secrecy Act officer at your institution will need to administer your BSA/AML program
• Specific discussions and tools for the staff of each operational area affected by AML laws and regulations
• Detailed customer identification program (CIP) procedures
• Red flags that indicate possible money laundering
• Case examples of money laundering
• Training outlines specific to each department
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Featured Authors
Dena Somers
Dena Somers
Dena Somers is a founding partner of Finreg Partners, a regulatory compliance and risk management firm for the banking, Fintech, and financial services industries. Drawing on more than 20 years of combined in-house and legal/consulting experience in the mortgage, consumer lending, and specialty finance sectors, Ms. Somers helps clients navigate complex regulatory and compliance challenges by providing hands-on expertise in developing and designing enterprise-wide CMS and GRC programs for banks and rapidly evolving companies in highly regulated industries, including Fintech, cannabis banking, money service businesses, and online consumer lending.
As a leading practitioner in her field, Ms. Somers provides compliance training to regional and community banks nationwide and authors numerous publications for LexisNexis in all areas of regulatory compliance for the banking industry. She has served as an expert witness in both federal and state courts and is an experienced public speaker on compliance and emerging trends, having presented before the Virginia legislature, CBS news, and industry trade associations.
Table of contents
Section 1: BSA Officer — BSA/AML Program Administration
Section 1A: BSA Officer — Reporting and Recordkeeping Rules
Section 1B: BSA Officer — OFAC, Information Sharing, and Special High-Risk Accounts
Section 2: Tellers
Section 3: Customer Service Representatives
Section 4: Retail Lenders
Section 5: Real Estate Lenders
Section 6: Commercial Lenders/Relationship Managers
Section 7: International Banking Staff
Section 8: Bank Insurance Sales Staff
Section 9: Investment Services Staff and Broker/Dealers
Section 10: Credit Card Department Staff
Section 11: Deposit Operations Staff
Section 12: Loan Servicing/Loan Operations Staff
Section 13: Trust Services Staff
Section 14: Internal Auditor
