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Teaching Your Front-Line Staff to Ask BSA Questions

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Course Description:

This 60 min webinar on "Teaching Your Front-Line Staff to Ask BSA Questions" will discuss what questions to ask, the specific KYC/CDD questions, the general customer update questions, and most importantly, the questions related to suspicious activity. When this webinar is over, you will understand what information is available, how you should analyze the information, what your regulators expect from your institution and some of the dangers of not fully complying with KYC/CDD information gathering requirements. You will be able to apply what you have learned during this webinar to your job function immediately upon returning to work after the seminar.

Why should you Attend?

The frontline staff of any financial institution is the first line of defense for BSA compliance.Therefore,an ill-trained frontline staff could lead to the collapse of an institution or the imposing of enforcement actions from the regulators.A strong and well-educated frontline staff will help develop a strong back office BSA department for your institution.Often,the frontline staff does not know why they are asking BSA questions or what the focus of BSA truly is.

This webinar will not only give your frontline staff viable scenarios and ways to respond during the customer question and answer process, but this training will also explain why your staff are asking the questions in the first place.Another valuable section of this webinar will teach the frontline staff when questions need to be asked. Most staff are familiar with how and why they ask questions related to CTRs and the Monetary Instrument Log, but they need to be able to look at a customer’s account history so as to understand how to ask questions related to the SAR process.

Areas Covered:

  • We will cover the responsibilities of frontline staff
  • Customer service vs. Bank Preservation
  • Updating customer information, CTR, SAR, and Monetary Instrument Log scenarios and questions
  • Building a strong relationship between the frontline staff and back office staff
  • What customer information to gather, how to gather the information, why gathering the information is important
  • How your financial institution can use the information

Who will benefit?

This webcast will be of a valuable assistance to the below audience.

  • Financial Institutions to include banks and credit unions
  • Money Service Businesses
  • BSA training
  • AML/CFT training
  • Operational Managers
  • Non-bank financial institutions to include insurance companies, securities dealers, auto dealers, precious metal dealers

Registration Options

Max 5 participants from a single location with 1 Dial-in.

Max 10 participants from a single location with 2 Dial-in.

Avail 12 months unlimited access for a single user.

Material shipped within 15 days post webinar completion & get life time access for unlimited participants.

Avail recording + Attend live session for a single participant.

Unlimited participants for max 5 locations.

Speaker Details

Thomas  E Nollner

Thomas E Nollner

Financial institution supervision and consulting, AML/CFT examiner/consultant

Thomas E. Nollner has more than 38 years of experience in financial institution supervision and consulting. Mr. Nollner spent 30 years as a National Bank Examiner (NBE) for the Controller of the Currency where he was a safety and soundness examiner and a compliance examiner. The last 15 years as an NBE and for the past 8 years as a consultant, Mr. Nollner has specialized as an AML/CFT examiner/consultant.

Refund Policy

Participants/Registrants for our live events, may cancel up to 72 hours prior to the start of the live session and ComplianceTrain will issue a letter of credit to be used towards any of ComplianceTrain's future events. The letter of credit will be valid for 12 months.

ComplianceTrain will process refund in cases where the event has been cancelled and is not rescheduled within 90 days from the original scheduled date of the webinar. In case if a live webinar is cancelled, participants/registrants may choose between recorded version of the course or a refund. Refunds will not be processed to participants who do not show up for the webinar. A webinar may be cancelled due to unavoidable circumstances, participants will be notified 24 hours before the scheduled start of the event. Contact us via email: