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AML Monitoring using BSA Tracker Presented by Sara Smith BSA Specialist

AML Monitoring using BSA Tracker Presented by Sara Smith BSA Specialist The webinar will begin shortly. Background. Report Categories. Report Flow. Report Flow. Rules Based Reports. Account Structuring Wire Activity Professional Service Providers Non-Profit Accounts

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AML Monitoring using BSA Tracker Presented by Sara Smith BSA Specialist

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  1. AML Monitoring using BSA Tracker Presented by Sara Smith BSA Specialist The webinar will begin shortly.

  2. Background

  3. Report Categories

  4. Report Flow

  5. Report Flow

  6. Rules Based Reports • Account Structuring • Wire Activity • Professional Service Providers • Non-Profit Accounts • Micro ACH Debits • Micro Transfers • Cash with Outgoing Wires

  7. Rules Based Report Results

  8. Statistical Transaction Variance Reports • High Incoming & Outgoing Wires • High ACH Credits & Debits • High Transfers • High Cash Transactions • High Deposits

  9. Statistical Transaction Variance Report Results

  10. Report Flow

  11. Transaction Historical Comparison Report

  12. Report Flow

  13. Account Detail Report

  14. Account Detail Report

  15. Account Detail Report The credits and debits are totaled for each month Graphs are created in a new worksheet

  16. Review Reminders • You can set a client to “reviewed” in Tracker and set a follow-up review date. • You can also run a report that lists upcoming reviews.

  17. Risk Rating • Risk rating ranges from 1 through 5 • 1 is the default for all consumers • 2 is for NRAs (higher risk consumers) • 3 is the default for all businesses • 4 is high risk • 5 is very high risk

  18. High Risk Client Review & the Risk Tab • Save everything related to the review of the high risk client in one spot • Professional, easy to read report to put in their file to document the review

  19. Risk Review Research Report The Risk Review Research Report is a summary of the information contained within the Risk Tab.

  20. Risk Review Research Report

  21. Thank you for attending today’s AML Monitoring using BSA Tracker presented by Sara Smith Questions? Contact Sara Smith directly at 805.369.5292 or ssmith@heritageoaksbank.com

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