The Suspicious Activity Process: How to Identify, Monitor, and Report Suspicious Activity, to include How to Write a Good Suspicious Activity Report

Thomas Nollner

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This course will discuss the commonly asked frontline questions and cover the red flags for money laundering for deposits and loans in your branches. It will provide you the information, skills, and knowledge related to the suspicious activity process. It will also help you understand the impact a poor suspicious activity program can have on an institution. By acquiring and using these skills, employees will help organizations remain compliant with suspicious activity laws, regulations, and guidelines.

Why Should You Attend:

Daily in your branches, circumstances that are viewed "suspicious" occur that may even set your customers and employees into what we will term a "felony moment." The response your officer gives to the customer's question "Should I deposit this money?" may prompt the customer to structure, and that is an issue for the customer as well as the employee. This course will discuss the frequently asked frontline questions and review the red flags for money laundering for deposits and loans. Don't miss this fun frontline approach to red flags and your anti-money laundering program.

This webinar helps attendees advance their career by offering them the information, skills, and knowledge connected to the suspicious activity process. It will help participants get to understand the issues and problems connected to identifying, monitoring, and reporting suspicious activity. It will also help them see how a poor or a weak suspicious activity program adversely impacts an institution. By gaining these skills and using them, participants will add great value and help the organization stay in compliance with suspicious activity laws, regulations, and guidelines.

Learning Objectives:

  • Why identifying suspicious activity is so important.
  • How to identify suspicious activity.
  • How to monitor suspicious activity.
  • How to report suspicious activity.
  • How suspicious activity reports are used by law enforcement.

Areas Covered in the Webinar:

  • How can I talk to my customer about currency transactions without getting into a "felony moment"?
  • The money smells like marijuana. Is this something I should be concerned about?
  • The customer told me that she is hiding money from the IRS, should I tell BSA?
  • What are the Red Flags for Elder Abuse?
  • What are some of the scams for loans and mortgages?
  • What are the Red Flags for Identity Theft?
  • When do we tell the BSA officer, and what should we use to communicate?
  • Sample Incident reports for operations, loans and branches
  • The customer washed and ironed the money. Is this suspicious?
  • The customer had me count $15,000 cash and then went to safe deposit box, should I let BSA know?
  • We did not book the mortgage loan so why should I tell BSA that the identification and TIN did not match?

Who Will Benefit:

  • Front line BSA/AML staff
  • Account opening staff
  • Risk managers
  • BSA/AML Officers
  • Compliance Officers
  • BSA/AML Audit staff
Webinar Events
Live -Coming soon!

Training CD-DVD

Physical CD-DVD of recorded session will be despatched after 72 hrs on completion of payment

Recorded video

Recorded video session

Speaker: Thomas Nollner, Banking AML and CFT Consultant, Various International C

Thomas E Nollner has more than 35 years of experience in financial institution supervision and consulting. Mr. Nollner spent 30 years as a National Bank Examiner for the Comptroller of the Currency where he was a safety and soundness examiner and a compliance examiner. As a safety and soundness examiner he examined national banks for capital adequacy, asset quality, management issues, earnings concerns, and liquidity funding. As a compliance examiner, he examined national banks for compliance with consumer laws and regulations such as the Truth-in-Lending Act, the Real Estate Settlement Procedures Act, the Flood Disaster Protection Act, the Community Reinvestment Act, and AML/CFT laws and regulations. His specialty was as an AML/CFT examiner, where he analyzed a bank’s AML/CFT program to ensure that it complied with applicable banking laws, rules, and regulations; he reviewed the bank’s suspicious transactions identification, monitoring, and reporting process; he traced proceeds and transactions through several layers of activity; and, he reviewed a bank’s processes and procedures to determine root causes of AML/CFT program weaknesses.

Mr. Nollner currently works as a consultant for the Office of Technical Assistance (OTA), a branch of the U.S. Treasury that assists developing countries with banking issues. Mr. Nollner is assigned to the Economic Crimes Team that focused on training, assisting, and mentoring the staffs of the financial regulatory departments and financial intelligence units of various countries regarding AML/CFT compliance. In this capacity, he worked in countries such as Afghanistan, Iraq, Turkmenistan, Viet Nam, Honduras, Guatemala, Guyana, Suriname, and Argentina developing AML/CFT examination procedures, providing AML/CFT training and mentoring, and updating local AML/CFT laws and regulations.

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