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Anti-Money Laundering and Sanctions

OFAC Sanctions Compliance Program (SCP)

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 OFAC Sanctions Compliance Program (SCP) Playbook?

The OFAC Sanctions Compliance Program (SCP) Playbook addresses the following areas:

  • Senior Management Commitment
  • Risk Assessment
  • Internal Controls
  • Testing and Auditing and
  • Training
 

Gallery

 

You Also Get

Policy Document Template

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

Overview Flow Charts

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

Instructions

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

Tutorial

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

 

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Related Playbooks

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
US Securities and Exchange Commission FRC FFIEC European Commission COSO
 

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