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
$195 $295
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