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BSA/AML Audit

Training - AML/BSA Plan - Audit

FinCEN Requires an Annual Review of the Program

We hear it all the time. "Why do we need an Anti-Money Laundering (AML) program? We don't handle cash transactions."  Or, "The Bank Secrecy Act (BSA) doesn't apply to us. We're not a bank." But the AML program is designed to ferret out money laundering activities of all kinds, and any positive finding using mortgage industry's Red Flag reviews represents a potential Suspicious Activity Report (SAR) requirement.

State Regulators Enforce BSA/AML Rules

Mortgage firms commonly receive regulatory citation for failing to have, implement or review AML/BSA programs. We provide the plans, but failing to implement or review the plan can be just as bad as not having one. 

Third-Party Reviews

Our plans provide a self-audit function, but if your firm cannot document independence, the state regulator may require a 3rd-party review. States which require a third party review regardless of independence include:
  • New York
  • North Carolina
  • Oregon
  • Washington

Our 24 Hour AML-BSA Annual Audit Service

Our advanced automation allows us to compile, review and issue a complete annual audit report in a very short period of time - 24 hours guaranteed, from when you submit all required information. In addition, if you are missing information in your plan, haven't taken AML training, or need remediation, we can help with all of those things. 
Stand-Alone AML Compliance Audit and Report
Price: $250.00
Upon Completion of the order, you will receive a link to access the questionnaire which commences the audit. 
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  • Home
    • Search our site
    • The CFPB and You
    • What Does a QC Plan Do?
    • Choosing the Right One
    • Free Sample Request Form
    • Request Discount Code
    • About Us >
      • About Us
      • FAQs
      • 100% Guarantee
      • Client List
    • Industry Blog
  • Single Policies
    • Single Policies
    • Free Sample Policies >
      • TIL-RESPA Integrated Disclosure (TRID)
      • HPML Appraisal Policy
      • Social Media
      • Ability to Repay
      • SAFE Act Policy
      • E-Sign Policy
      • Loan Originator Comp
      • Complaint Resolution
    • Disaster Recovery/Business Continuity Plan
    • Anti-Money Laundering (AML/BSA/SAR) >
      • Annual AML/BSA Audit
      • Annual AML Training
      • Free AML/BSA SAR Evaluation
    • Fair Lending/Fair Housing
    • Secondary Marketing-Loss Mitigation
    • Appraiser Independence - Appraisal Management
    • Anti-Predatory Lending (UDAAP)
    • Vendor Management
    • Business Plan
    • MERS QA Plan
  • Modules
    • Module System
    • Mortgage Compliance Manual
    • Quality Control Options >
      • Quality Control Options
      • Lender Quality Control Plan >
        • HUD-FHA Quality Control Plan
      • Broker QC Plan
    • Origination/Production Module
    • Processing Module
    • Underwriting/Credit Policy
    • Closing/Funding/Warehouse
    • Mortgage Ops & Employee
    • Information Security - FACTA/Red Flags & ID Theft
    • Wholesale/Third Party Origination
    • Mortgage Servicing Module >
      • Mortgage Servicing
      • Mortgage Sub-Servicing
      • MERS Quality Assurance (QA)
  • Packages
    • Packages
    • Mortgage Banker Package
    • Correspondent Broker Pack
    • Lender Compliance Pack
    • State Examination Packages
    • Broker-Corr Compliance Pack >
      • Broker-Corr Compliance Pack
      • State Audit/Exam Prep
      • Specific Lenders Requirements
    • Supervisory Plan
  • Services
    • Services
    • Training Services >
      • Annual AML Training
      • Fair Lending Training
      • ID Theft Training FACTA
      • Cybersecurity Training GLB Safeguarding
      • Fraud Red Flag and QC Training
      • Privacy Act - GLB Training
      • Advertising Compliance Training
      • New Employee Training
    • My Compliance VP - Manager >
      • My Compliance VP - Manager
      • Document Management Systems >
        • Document Management Systems
        • Access Document Managment
      • Warehouse Lender/Agency Approval
    • Comergence Upload Service
    • State Audit Preparation >
      • New York Lender Broker
      • North Carolina Lender Broker
      • Ohio Mortgage Lender Broker
    • Annual Audit Preparation
    • Updates and Downloads >
      • Updates and Downloads
      • Updates and Downloads (members)
    • Request Review
    • How to: Customization Services >
      • How to: Downloading Documents
      • How to: Customize Your Manual
      • Free "Generic" Customization Offer