BSA Audit program for information sharing

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41 Documents

25 Answers

27 Exam Watches

42 Vendor Reviews

BSA Audit program for information sharing
Contributed by:	VP Compliance/BSA/Legal
Asset size:	Bank with between $500m - $1b
Location:	Southeast

Description: BSA Audit program for information sharing testing used in consulting practice.

RELATED QUESTIONS AND ANSWERS:

BSA Audit Checklist - Based on 2010 FFIEC Revisions
Asked by:	AVP, Compliance/BSA/Legal
Asset size:	Bank with between $500m - $1b
Location:	WI
I am looking for a checklist that is user - friendly to complete our BSA/ AML internal audit. It must include the requirements under the 2010 FFIEC BSA Manual. Thank you

Answered by:	VP, Compliance/BSA/Legal
Asset size:	Bank with between $500m - $1b
Location:	TN
When doing a BSA internal audit it is hard to use just one checklist. You must test each...

Audit Ratings Description
Asked by:	VP, Compliance/BSA/Legal
Asset size:	Bank with under $250m
Location:	FL
For any bankers who perform internal audits for compliance, I would like to know what type of audit ratings system you utilize and a description of each category used. For example, do you use a numbering system (1 - 5), Outstanding to Substantial Noncompliance categories, or other rating system? A description of each category would be helpful so that I can update this part of the audit program. I am offering 25 points for the best answer and willing to purchase any documentation that includes this type of information.

Answered by:	VP, Audit
Asset size:	Bank with over $1b
Location:	OH
I use the following ratings Satisfactory: Management effectively identifies...

SEE ALL 25 ANSWERS >>

RELATED EXAM EXPERIENCES:

FRB - BSA/AML | September 2011

exam experience posted by a EVP Compliance/BSA/Legal from member with between $250m - $500m in assets

None.

FDIC - IT | October 2011

exam experience posted by a VP Risk Management from member with between $500m - $1b in assets

Level of detail of board reporting for wire transfers & ACH

OCC - S&S | June 2011

exam experience posted by a VP Audit from member with under $250m in assets

Did not expect them to go into detail of specific general ledger accounts.

SEE ALL 27 EXAM WATCHES >>

RELATED VENDOR REVIEWS:

Xpertonline

Credit Information Systems (f.k.a. Factual Data)

ID Verification

Fidelity Information Services Inc

Information Security Program

CoNetrix

BSA Audit

AuditOne

Shared VRU

Metavante

SEE ALL 42 Vendor Reviews >>

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