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AML/BSA Compliance Program Package

Annual AML Training
Policies and Procedures - Written Plan
Audit/Annual Review

AML Compliance for Brokers and Small Lenders Made Easy

Solve AML Compliance Issues with a complete package that includes:
  • AML Policies and Procedures - Customized to your company
  • AML Program 3rd Party Annual Audit/Exam/Assessment - with complete (15-16 page) written report
  • Training for all Employees - or Certification of Existing Training! (Don't waste your employees' time!)
  • BSA/AML Officer training - BSA AML Officers are expected to have a higher understanding of the rules than staff (Only sold with package)

​AML/BSA Compliance Plan for lenders, correspondents or brokers

Picture
The Financial Crimes Enforcement Network (FinCEN) added Mortgage Originator Businesses (Brokers and Bankers) to the definition of Money Service Businesses. Firms must have a plan to identify and report incidences of suspicious activity. Our plan - part of our trio of services - provides an actionable step by step procedure that aligns with the mortgage process, so that you don't have to create a separate procedures just for AML.  This contains the four pillars for plans as specified by FinCEN; Accountability, Procedure, Training and Review.

AML Compliance Plan for Lenders

​If your company already has a fraud prevention plan in place, you likely meet 90% of the requirements of the Anti-Money Laundering rules promulgated by FinCEN.  The requirement effective July, 2012 requires many companies not previously required to report suspicious activity, such as fraud, ID Theft and other non-cash related activities, to have a program in place for Suspicious Activity reporting (SAR).  Other requirements include Office of Foreign Assets Control (OFAC) and Customer Identification Plan (CIP). Our plan meets all of these requirements, and can be incorporated with your company's general fraud prevention program (Red Flags) or quality control plan. 

Here is the FinCEN Rule.
AML/BSA/SAR Reporting Table of Contents
File Size: 27 kb
File Type: pdf
Download File

Sample Table of Contents

Sample Training Program

You can deliver the training yourself, using our provided PowerPoints, or you can use the no-cost program we provide here.

We also provide a self-audit checklist and procedure in the tools provided with this product, but if you need a 3rd party to conduct audits, we can do that too. 

Purchase AML Audit, Training, Policy Complete Package 

Anti-Money Laundering COMPLETE Package
Price: $445
Includes: Plan PLUS 3rd Party Review PLUS BSA Officer Training

Purchase AML Plan Only

Anti-Money Laundering and SAR Reporting Plan
Price: $195
The AML Plan stand-alone is part of the Quality Control Plan. You may consider purchasing the Small Broker Quality Control Plan or the Investor/Agency Lender Quality Control Plan, as a value-added product. 
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  • Home
    • Search our site
    • The CFPB and You
    • What Does a QC Plan Do?
    • Choosing the Right One
    • Request Discount Code
    • About Us >
      • About Us
      • FAQs
      • 100% Guarantee
      • Client List
    • Industry Blog
  • Single Policies
    • Single Policies
    • Free Sample Policies >
      • Free Sample Request Form
      • 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
    • Fair Lending/Fair Housing
    • Secondary Marketing-Loss Mitigation
    • Advertising
    • Anti-Money Laundering (AML/BSA/SAR) Plan
    • 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/Non-Del QC Plan
    • Information Security - FACTA/Red Flags & ID Theft >
      • IT/Cyber Audit
    • Origination/Production Module
    • Processing Module
    • Underwriting/Credit Policy
    • Closing/Funding/Warehouse
    • Mortgage Ops & Employee
    • Wholesale/Third Party Origination
    • Mortgage Servicing Module >
      • Mortgage Servicing
      • Mortgage Sub-Servicing
      • MERS Quality Assurance (QA)
  • Packages
    • Packages
    • Complete Mortgage Banker Package
    • Complete Correspondent Pack
    • Lender Compliance Pack
    • Broker-Non Del Compliance Pack
    • Processing Company Package
    • Anti-money laundering AML/BSA/SAR package >
      • Annual AML/BSA Audit
      • Annual AML Training
      • Free AML/BSA SAR Evaluation
    • Cyber/IT Security Audit Package
    • Advertising Audit Package
  • Services
    • Services
    • State Audit Prep >
      • State Audit Prep Package >
        • Pennsylvania Exam Preparation
        • Washington State Mortgage Lender Broker
        • New York License and Audit Prep
        • North Carolina Lender Broker
        • Ohio Mortgage Lender Broker
        • Texas Exam Preparation
      • Annual Audit Preparation
      • State Examination System (SES) Support
      • State Examination Packages >
        • Supervisory Plan
    • Training Services >
      • 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
    • Knowledge Base-FAQ >
      • Knowledge Base-FAQ
    • My Compliance VP - Manager >
      • My Compliance VP - Manager
      • Login Compliance Manager
      • Login Document Managment
      • Manage Subscription
    • Updates and Downloads >
      • Updates and Downloads
    • Warehouse Lender/Agency Approval >
      • Comergence Upload Service
    • Request Review
    • How to: Customization Services >
      • Customization Services
      • How to: Downloading Documents
      • How to: Customize Your Manual
      • Free "Generic" Customization Offer