BSA AML Audit Worksheet for Compliance Program

Updated 09/12/2018

This worksheet should be used by auditors to review and test the scope and content of a bank's BSA/AML compliance program. The results of the audit should be reported to and discussed by the board of directors, and duly recorded in the minutes. Any apparent violations, exceptions or other problems should be promptly addressed.Updated to include new CDD requirements.

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