BSA/AML Contextual Awareness of High Risk Customers


Instructor: Doug Keipper
Product ID: 705472

  • Duration: 60 Min
This webinar will highlight the steps to identify and evaluate high-risk customers. Learn how to perform BSA, AML risk assessments.
Last Recorded Date: Feb-2022


1 Person Unlimited viewing for 6 month info Recorded Link and Ref. material will be available in My CO Section
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Why Should You Attend:

The management of compliance risk requires a thorough evaluation of the customer base. Determining the risk rating of a customer – especially those seen as High Risk – plays an important role in the construction of a complete and accurate BSA/AML Risk Assessment . The determination of High Risk Customers may involve a wide array of variables, carefully rated and scored, or a single variable that overrides all others. The factors to calculate high risk – or any risk – must drive an on-boarding system – computer-based or manual. How many high-risk customers must an institution have before the meaning of high risk becomes meaningless? The USA Patriot Act has laid out the requirements for Customer Due Diligence and Enhanced Due Diligence for High Risk customers. The recently implemented FinCEN CDD Rule which formalized the concept of beneficial ownership, provides guidance for the management of high risk customers.

This webinar will examine the regulatory background behind the determination of high risk, weighting and rate factors leading to high risk scoring, and asking when is a high-risk customer too hot to handle, what is the risk appetite of the institution.

Learning Objectives:

  • High Risk Customers and the BSA/AML Risk Assessment
  • What makes a Customer High Risk – Institutional Risk Appetite
  • Evaluating and Validating Rating Factors
  • Enhanced Due Diligence Considerations
  • Can an Institution have too Many or too Few High-Risk Customers

Areas Covered in the Webinar:

  • The Customer Risk Rating Profile
  • What is High Risk?
  • The On-boarding System
  • The BSA/AML Risk Assessment
  • Country Risk Ratings

Who Will Benefit:

  • BSA/AML Officers
  • Compliance Officers
  • Chief Compliance Officers
  • Sanctions Officers
  • AML Analysts
  • Chief Risk Officers
  • Legal Departments Personnel
  • Risk Managers
  • CEO/Presidents at Banks
  • Broker-Dealers
  • Money Services Businesses
Instructor Profile:
Doug Keipper

Doug Keipper
Certified Anti-Money Laundering Specialist, SunTrust Bank

Doug Keipper, is a Certified Anti-Money Laundering Specialist (CAMS) since 2005 and a Bank Secrecy Act Officer for a $1 billion dollar bank.
Doug sold BSA software for eight years and has taught anti-money laundering classes since 2008 throughout the southeast and online.
He has talked with over 500 BSA officers throughout the USA and Caribbean.
He has spent over 20 years in retail banking, wholesale mortgages and financial services.

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Our refund policy is governed by individual products and services refund policy mentioned against each of offerings. However in absence of specific refund policy of an offering below refund policy will be effective.
Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange. Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time. On-Demand Recording purchases will not be refunded as it is available for immediate streaming. However if you are not able to view the webinar or you have any concern about the content of the webinar please contact us at below email or by call mentioning your feedback for resolution of the matter. We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email [email protected] call +1-888-717-2436 (Toll Free).




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