BSA Audit Checklist

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The Audit Checklist makes sure you leave no stone unturned. It contains every possible question and topic you need to review to sit for a successful audit. Each major subject covered by the Bank Secrecy and PATRIOT Acts contains highly detailed questions patterned after those in the regulatory agencies' auditor manuals. C3 allows you to review each item, track its status as you address any related concerns, and assign accountable parties for specific compliance issues. The reporting capabilities of C3 will significantly simplify your task (as either an auditor or compliance manager) of reporting the completeness of your AML program and remediating any shortcomings. The C3 Audit Checklist is the single most efficient tool available to conduct the required annual independent audit of your program. KEY FEATURES & BENEFITS C3 Audit Control Checklist contains every item covered by the BSA and PATRIOT Act that may potentially be examined by a regulator C3 Audit Control Checklist identifies all items from your AML compliance program that need ongoing work prior to standing for an actual audit C3 Audit Control Checklist ensures that you have not overlooked a potential subject that may be covered by an auditor If you are an internal auditor without specific AML experience, C3 will ensure that your audit of your firm's AML compliance program is sufficiently thorough C3 Audit Control Checklist allows you to tag audit items with a responsible person so that you can track that person's performance for fulfilling an audit item The checklist requires that you have Access 2002 or a later version installed on your computer.