Anti-Money Laundering and Sanctions

BSA/AML Compliance Program

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.

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What is the BSA/AML Compliance Program Playbook?

The BSA/AML Compliance Program Playbook addresses the following areas:

  • BSA/AML Risk Assessment
  • BSA/AML Program Board Approval and Content Review
  • Internal Controls
  • BSA Compliance Officer
  • Training, and
  • Application Security and Segregation of Duties



You Will Also Receive:


Policy Document Template

These templates are designed to be a starting point for your clients, which can be tailored for your client's specific organizational needs.


Overview Flow Charts

A diagrammatic representation of the flow of assessment activities within your playbook.



Our instructions for use. These are the same for all our playbooks, once you know how to use one, you can use them all.



A PowerPoint tutorial on the specific playbook, covering the most important aspects of this area of assessment.

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BSA/AML Compliance Program

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BSA/AML Customer Identification Program (CIP)

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

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BSA/AML Information Sharing

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BSA/AML Office of Foreign Assets Control (OFAC)


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