Upcoming Events

AML Training Seminar for Financial Services

11/9/2021 10:00 AM - 02:30 PM (CT)

Type: Live Webinar

Industry: Financial Services

Cost: $199

Seats Remaining: 496

Event Contact:

Name: Mary Boortz

Phone: 715-858-6677

Email: mboortz@wipfli.com


A training designed for BSA/AML officers, backup BSA/AML officers, compliance officers and internal auditors

This training seminar is perfect for the BSA/AML Compliance Officer who is responsible for BSA/AML compliance for brokers-dealers, private equity, investment advisors, insurance and other nonbank financial services companies.

We will cover all areas needed to gain a good understanding of regulatory obligations for an effective BSA/AML program, including AML risks associated with your locations, size, activities and products and services, customer identification and due diligence, OFAC requirements, recordkeeping requirements and suspicious activity monitoring and reporting.

We will discuss recent industry news, enforcement actions and upcoming regulatory changes along with tips to prepare for a BSA/AML regulatory examination. The webinar will be interactive with ample opportunity for questions and answers about your most pressing BSA/AML concerns.

CPE Credit

Advanced Preparation: None
Level: Basic 
Prerequisite: None
Field of Study: Specialized Knowledge
CPE: 4 credits
Instructional Delivery: Online
Program Cost: $199

Learning Objectives:

  • Understand updated BSA/AML regulatory expectations
  • Apply risk based approach to due diligence and monitoring
  • Review recent enforcement actions
  • Discuss implications of non-compliance

CPE

National Registry of CPE Sponsors: Wipfli LLP is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the national Registry of CPE Sponsors through its website: www.NASBARegistry.org.

For more information regarding administrative policies, such as complaint, and cancellation policies, please contact Mary Boortz at 715.858.6677 or mboortz@wipfli.com.

Speakers

Guthridge_Robin
Robin Guthridge, CAMS, CRCM
Director, Compliance
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Stephanie Jennings
Stephanie Jennings, CRCM, CCBTO
Manager
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