Audit Objective

Determine whether your organization is meeting the requirements of the Bank Secrecy Act

Key Control Objectives

OFAC

• Effective review processes are performed of the exceptions identified by the OFAC check

• OFAC tools are calibrated in a manner to perform effective reviews

FinCEN

• Controls are in place to perform the required level of FinCEN searches

BSA Compliance Monitoring

• An effective process is in place to identify suspicious activity

• An effective process exists to ensure that SARS are filed for required events

Next Steps

1.            Complete the Information Request form

2.            Audit Serve will contact you to scale the audit scope to the requirements of your organization and establish a proposal for the engagement.  Fixed price engagements are available in most cases.