Examining Exam Prep: Practical Procedures to Prepare for a Regulatory Exam

  • When: April 24, 2019
  • Time: 12PM – 2PM ET
  • Level: Intermediate to Advanced

For compliance professionals, an impending BSA/AML regulatory exam might produce reactions such as anxiety, insomnia and a deep sense of dread. The good news is these symptoms can be treated with methodical and comprehensive pre-exam preparation. From conducting institutional risk assessments to updating BSA policies or even preparing remediation plans for issues raised by examiners, this webinar’s expert panelists detail exam prep protocols that can alleviate the exam-related angst and foster more positive outcomes.

Learning Objectives

  • Validating quality of training programs relative to job functions and line of business risks and preparing business-side to discuss institutional commitment to first line of defense
  • Reviewing controls for issues such as high-risk entity oversight to confirm second line of defense strengths and create resolution plans for identified gaps requiring self-disclosure
  • Verifying internal audit proficiency to substantiate rigorous third line of defense and demonstrate institutional commitment to culture of compliance

Who Should Attend

  • Compliance Administrators
  • Auditors
  • BSA/AML Officers
  • Risk Managers
  • Internal Training Specialists


  • Global
  • Banking
  • Credit Unions
  • MSBs
  • Securities


ACAMS Members Non-Members
$245 $445
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Vicki Landon
  • Vicki Landon, CAMS-Audit, FLMI, CFCS

  • President | CEO
  • Landon Associates, Inc.


Heather Allen
  • Heather Allen, CAMS

  • First Vice President, BSA Officer
  • Peoples Bank NC

Kimani G. Rogers
  • Kimani G. Rogers, CAMS

  • Executive Director – Global KYC Audit Manager
  • JPMorgan Chase & Co.


  • Chuck Taylor, CAMS

  • Executive Vice President, Head of Financial Crimes Advisory
  • AML RightSource

Mr. Taylor has oversight responsibility for all aspects of the BSA function including maintenance of the Bank’s BSA program, BSA Risk Assessment, AML Transaction Monitoring, Currency and Suspicious Activity Reporting, Customer Identification Program, Sanctions filtering and BSA Training. He received certification as an Anti-Money Laundering Specialist (CAMS) in 2003 with the inaugural class and became a Certified BSA Officer in 2007. In 2010, Mr. Taylor completed the Masters level Bank Management & Finance program through Pacific Coast Banking School. He is a current Board Member of the West Coast Anti-Money Laundering Forum. Mr. Taylor is also an instructor for the ACAMS Advanced Certification Program and the CAMS Examination Preparation Course. In 2014 Mr. Taylor was recognized as the ACAMS Anti-Money Laundering (AML) Professional of the Year.