It’s Not Over ‘Til It’s Over: AML Issue Validation Best Practices

  • When: November 28, 2018
  • Time: 12:00 PM – 2:00 PM ET
  • Level: Intermediate to Advanced

As one of the four pillars of an effective BSA/AML program, the independent audit is not just a linchpin of sound compliance, but a powerful tool for uncovering systemic deficiencies that, left unchecked, could weaken oversight and even cause regulatory headaches for financial institutions. But the work doesn’t end when the audit is completed. Rather, the audit’s findings must be analyzed, Corrective action plans must be developed. Then, the changes must be implemented in conjunction with appropriate staff training. In this webinar, our expert panelists will detail innumerable practical insights for making the most of your audit findings, in the pursuit of strengthening this vital AML pillar.

Learning Objectives

  • Creating a formal review team comprising relevant internal constituencies such as IT and LOB managers to identify and confirm audit-identified issues such as screening backlogs
  • Crafting a strategic action plan to detail solutions such as increased use of AI/machine learning and secure senior management buy-in for required investment and personnel needs
  • Fostering collaboration across enterprise to implement systemic changes, test for fulfillment of performance goals and train staff on changes to AML systems and standards

Who Should Attend

  • Compliance Officers
  • Risk Managers
  • On-boarding Managers
  • Relationship Managers


  • Global
  • North America
  • Bank


ACAMS Members Non-Members
$245 $445
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Joe Soniat
  • Joe Soniat, CAMS-FCI

  • Account Risk Management, Sr. Associate
  • Federal Reserve Bank of New York


Joe Soniat is the Director of the Financial Intelligence Team and the BSA/AML Officer at Union Bank and Trust; one of the largest community banking organizations in Virginia. Joe worked as a finance officer for the U.S. government from 2002-04 and also serves on the BSA Coalition Advisory Board, which comprises bankers and regulatory representatives from federal and state agencies throughout the fifth district of the Federal Reserve.


Lindsay Dastrup
  • Lindsay M. Dastrup, CAMS-Audit, CAMS-FCI

  • Vice President, Audit Leader
  • American Express

Bob Pasley
  • Bob Pasley, CAMS

  • Owner
  • Pasley Consulting