BSA workshop: Advanced topics and emerging trends in Wisconsin Dells, WI
7/9/2020 08:30 AM - 04:00 PM (CT)
Type: In Person Event
Seats Remaining: 13
Name: Mary Boortz
45 Hillman Road
Wisconsin Dells, Wisconsin 53965
This workshop is designed to be a higher-level overview of the day-to-day responsibilities of the BSA Officer and is dedicated to emerging hot topics and trends that face the banking industry. We will cover the areas needed to provide you a good understanding of your roles and responsibilities and what examiner expectations are of this position, including:
- Beneficial ownership frequently asked questions and common exam findings.
- Management of CIP exceptions.
- New foreign customer W8BEN requirements.
- Your institution’s role in combating human trafficking.
- Customer due diligence requirements for banking hemp growers and CBD oil sellers.
- Understanding of the implications of banking Tier II marijuana businesses, such as employees and vendors.
- Understanding of virtual currency customers.
- Tips for internally validating your automated surveillance monitoring systems.
- Overview of regulatory enforcement actions.
Wilderness Resort - Glacier Canyon Lodge
45 Hillman Road | Wisconsin Dells, Wisconsin 53965
Make your hotel reservations today. Rooms fill up fast!
Special rate: $179 per night when you reserve by June 8, 2020
Register using the group code: Leader #779314, Wipfli BSA Workshop at Glacier Canyon Lodge.
Who should attend
BSA officers, backup BSA officers, compliance officers and internal auditors
$275 per person
8:30 – 9:00 a.m.
Registration and continental breakfast
9:00 a.m. – 4:00 p.m.
Noon – 1:00 p.m.
All participants will receive an updated copy of the Wipfli BSA/AML Policy, which includes a comprehensive cannabis (hemp and marijuana) policy.
Robin Guthridge, CAMS, CRCM
Senior Manager, Compliance
Robin has a strong background in Bank Secrecy Act (BSA) compliance, leadership and sales management. In addition to performing BSA, deposit and loan compliance examinations for various institutions, including casinos, she has developed, implemented and presented annual BSA workshops and customized training sessions for Wipfli’s clients and prospects and for various state banking associations. Robin uses her firsthand experience in the financial services industry to provide meaningful insight and helpful recommendations in the areas of BSA, Title 31 and deposit compliance. Her goal is to exceed client expectations with every contact.
Kristen Ferwerda, CRCM
Kristen is a member of the financial institutions practice’s regulatory compliance team, where she works with clients to assess the effectiveness of compliance policies, procedures and practices for both large and small financial institutions. Her well-rounded knowledge and previous experience in bank operations provide clients with the necessary tools to be successful in their endeavors.
BSA Workshop Assessing and Managing Risk
Advanced Preparation: None
Level: Intermediate/Advanced Instructional
Prerequisite: Basic BSA Knowledge/Attend Mastering the Basics Webinar
Field of Study: Specialized Knowledge
CPE: 6.5 credits
- Identify and select best practice requirements for a comprehensive risk assessment.
- Complete CTRs and SARs for complex scenarios.
- Recognize how to identify, monitor and report suspicious activity via an automated surveillance system.
- Apply and implement requirements of the beneficial ownership customer due diligence rule.
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.
Instructional Delivery: Group-Live. For more information regarding administrative policies, such as complaint, cancellation*, and refund policies, please contact Mary Boortz at 715.858.6677 or firstname.lastname@example.org
- Up to 6.5 CPE credits in accordance with the standards of the National Registry of CPE Sponsors. CPE credits are granted based on a 50-minute hour.
- All participants will receive a copy of the Wipfli BSA Policy and gain an understanding of what a comprehensive written program should include.
- Reference materials (any PowerPoint presentations and/or additional references).
Cancellations made after June 8, 2020 will be charged $100 per person cancellation fee. If you cancel, you may send a substitute from your organization. Participants who register but neither attend nor cancel are charged for their full registration fee. Call Mary Boortz at 715.858.6677 for questions about this policy.
45 Hillman Road
Wisconsin Dells, Wisconsin 53965