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AML Deadline is closer than it appears

How can we help? We have created a free online training course for your AML/BSA Training Compliance purposes. This ticks off 1 of the 4 pillars of a successful BSA/AML program; training. Just go to our AML policy training page, view the video and take the quiz! (Don't forget to print out your certificate and give it to your compliance officer to put in your AML training folder.)

Go to the training now
All that's left is a policy (which most of you have from us), a compliance officer (that's probably you!), and the annual audit which you can have a non-employee do for you!
Our AML Self-Audit checklist allows you to retain your own auditor, accountant or book keeper to complete a third party audit.

Do I have a "Supervisory Plan?" - Yes, you do.


We have received many questions regarding the supervisory plan, and why that is not a separate policy. The short answer is that you have a supervisory plan, you just don't call it that: you call it your "policies and procedures." For each module you own, each one is an operating and supervision plan, whether it's quality control, compliance for all employees, origination, processing, underwriting, closing, operations, etc. To meet the requirement, simply name it "Supervision Plan for...____ (fill in the blank for position."

We cover this in some greater detail on our LinkedIn updates here.

Also, we have devoted a page on our website to this question here
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