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

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, the Office of Foreign Assets Control (OFAC) examinations and the New York Department of Financial Services (NYDFS). 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 Monitoring and Filtering (NYCRR 504) Playbook?

The BSA/AML Monitoring and Filtering (NYDFS 23 NYCRR 504) Playbook addresses the following areas:

Transaction Monitoring Program Requirements
Transaction Filtering Program Requirements
Transaction Monitoring and Filtering Program
Remediation
Annual Board Resolution or Senior Officer(s) Compliance Finding, and
Information Sharing – USA PATRIOT Act Section 314

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.

Instructions

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

Tutorial

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

BSA/AML Compliance Program

BSA/AML Suspicious Activity Reporting (SARs)

BSA/AML Customer Identification Program (CIP)

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

BSA/AML Information Sharing

BSA/AML Office of Foreign Assets Control (OFAC)

Based on Authoritative Sources