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BSA Officer Reports to the Board

Feb 08 2:00 PM - Feb 08, 2022 3:30 PM
Feb 08, 2022 2:00 PM - 3:30 PM
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BSA officers play a vital role in the wellbeing of each financial institution. Although the buck stops with the board, the board relies on BSA officers and management to provide the necessary information. Are you confident in your reporting process? Join us to learn best practices and walk away with a sample BSA board report.

Learning Objectives

  • Understand directors’ BSA responsibilities
  • Develop a comprehensive, ongoing BSA training program for the board
  • Explain your institution’s current BSA/AML risks and the impact of pending BSA regulations and changes
  • Create detailed board reports using the provided templates
  • Identify key details examiners will look for in board reports

Ultimate responsibility for your BSA program rests with the board. Recent BSA enforcement actions have cited lack of board and management oversight as a significant violation. But since directors don’t oversee day-to-day operations, they must rely on information provided by the BSA officer and management to make the strategic, risk based decisions needed to maintain compliance and avoid costly incidents of fraud. BSA officer and board communication starts with effective initial and ongoing training and continues with periodic reporting regarding your BSA program and the ever-changing regulatory environment. This webinar will address appropriate training content, the frequency and type of reporting, and the details directors need most for decision-making and to enhance their understanding of your institution’s BSA/AML risks. 



Dawn Kincaid, Brode Consulting Services, Inc.

Dawn Kincaid began her banking career while attending The Ohio State University. She has over 20 years’ experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Dawn served as the Senior Vice President of Operations for a central-Ohio-based community bank, where she created and refined policies and procedures, conducted self-audits and risk assessments, and organized implementation of new products and services. Dawn has served in the roles of Compliance, BSA/AML, CRA, Privacy, and Security Officer. She has led training initiatives, prepared due diligence information, completed a variety of regulatory applications, coordinated internal and external audits and exams, and presented for numerous state associations.




Additional Info

Event Type

On-Demand Webinar

Topics Covered

  • On-Demand Webinars
  • Board Governance