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Anti-Money Laundering (AML)

This series of Anti-Money Laundering and Sanctions Playbooks is based on the Federal Financial Institutions Examination Council (FFIEC) Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) Examination Manual that provides guidance to examiners for carrying out BSA/AML and Office of Foreign Assets Control (OFAC) examinations. The Playbooks incorporate the FFIEC manual guidance on identifying and controlling risks associated with money laundering and terrorist financing.

 

What can you expect from our comprehensive Playbooks library?

Out-of-the-Box Functionality

Out-of-the-Box Functionality

Our extensive library of fully loaded, ready to use “smart” Playbooks allows you to get started straight away. No training, no new technology, once you can use excel, you’re ready to use GRC Playbook.

Reporting Clarity

Reporting Clarity

Generate meaningful and actionable Dashboards, Status and Management Reports, and slice and dice your data any way you want through our tight integration with Microsoft Power BI.

Scalable Ease-of-Use

Scalable Ease-of-Use

Our expanding library of Playbooks give you three scalable work modes to suit your and your client’s needs – simple ControlSCAN, more detailed DiagnosticREVIEW, and full RCM Assessment.

 

3 Modes of Use

Playbooks builds on and retain the information entered into each of the three work modes to allow you the flexibility of working interchangeably in whatever mode suits your needs at a particular time.

Control Scans
Control Scans

Gap analyses against authoritative best practices and applicable international frameworks

Designed to provide the user with a rapid assessment of the organization’s control/compliance “gaps” – in advance of a more in-depth assessment

DiagnosticREVIEW
DiagnosticREVIEW

 A more-in depth review of your chosen subject area.

RCM Assessment
RCM Assessment

A full-scale Risk and Control Matrix Assessment that gives you the most comprehensive view of your subject area.

 

Anti-Money Laundering Playbooks

BSA/AML Compliance Program

BSA/AML Compliance Program

BSA/AML Suspicious Activity Reporting (SARs)

BSA/AML Suspicious Activity Reporting (SARs)

BSA/AML Customer Identification Program (CIP)

BSA/AML Customer Identification Program (CIP)

BSA/AML Monitoring and Filtering (NYDFS 23 NYCRR 504)

BSA/AML Monitoring and Filtering (NYDFS 23 NYCRR 504)

BSA/AML Information Sharing

BSA/AML Information Sharing

BSA/AML Office of Foreign Assets Control (OFAC)

BSA/AML Office of Foreign Assets Control (OFAC)

OFAC Sanctions Compliance Program (SCP)

OFAC Sanctions Compliance Program (SCP)

Based on Authoritative Sources

 

US Securities and Exchange Commission FRC FFIEC European Commission COSO
 

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