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BSA Officer's Administration Handbook

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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

Authors / Contributors

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