Focus on Financial Institutions: Mastering the Corrective Action Plan

  • When: Previously recorded on: July 30, 2014
  • Time: 12:00 PM – 2:00 PM ET
  • Level: Intermediate to advanced

Looking for practical ideas and techniques to manage the action items from your last examination? This informative session outlines common procedures for implementing a remediation plan following an examination or independent review. Listen and ask questions as seasoned AML and audit practitioners walk you through the steps to understanding audit and exam findings and recommendations. In this practical, hands-on session, you will learn the fundamentals of a well-organized corrective action plan and evaluate best practices and strategies that can help your organization improve. Be a part of this compelling dialogue and learn efficient and effective ways to leverage staff skills, knowledge, resources and tools to repair and improve your AML program.

Learning Objectives

  • Using regulator expectations and feedback to evaluate whether your filtering criteria are configured correctly
  • Understanding the importance of self-testing to ensure remediation sustainability and effectiveness
  • Identifying the key tasks that are critical to repairing and rebuilding your AML program

Who Should Attend

  • AML Compliance Officers
  • Auditors
  • Broker-Dealers
  • Consultants
  • Executive Management
  • Government Regulators
  • Internal and External Auditors
  • Investment Advisors


  • Banks and Credit Unions
  • Credit, Debit and Pre-paid Card Companies
  • Gaming Organizations
  • Government and Regulatory Agencies
  • Money Service Businesses
  • Securities and Investment Firms


ACAMS Members Non-Members
$195 $295
Purchase Recording Join ACAMS


Laura Goldzung
  • Laura Goldzung, CAMS

  • CEO & President
  • AML Audit Services


Kenneth Cherrier
  • Kenneth Cherrier, CAMS

  • Chief Supervisory Officer
  • Waddell & Reed, Inc.

Diana Liska
  • Diana Liska, CAMS

  • Compliance Consultant
  • Mutual of Omaha Bank