Job-Specific BSA Training for Lenders & Mortgage Loan Officers

On-Demand Webinar
StreamedFeb 13, 2024Duration90 minutes
  • Unlimited & shareable access starting two business days after live stream
  • Available on desktop, mobile & tablet devices 24/7
  • Take-away toolkit
  • Ability to download webinar video
  • Presenter's contact info for questions
See Registration Options

Lenders are often the first line of defense in identifying and reporting suspicious activity, but the transaction types and procedures for originating a new loan are often very different from the transactions and account opening methods used by the frontline.

Therefore, it’s crucial that lending staff receive tailored (initial and annual) training on BSA/AML requirements and fully understand what is expected during their day-to-day duties.
  • Understand the required responsibilities under the five pillars of BSA
  • Identify red flags and report potentially suspicious activity
  • Gather required CDD information, including beneficial ownership information
  • Comply with OFAC screening responsibilities
  • Know how to respond to current BSA “hot buttons” faced by your lending department
  • Detail penalties for noncompliance


The core of the loan process involves mitigating risks – compliance risks, credit risks, and… BSA/AML risks. The BSA requirements can assist credit staff in identifying red flags and potential risks so they may be better managed and so potential fraud losses may be avoided. Following well-developed CDD procedures can provide a better understanding of borrowers and which products and services your institution offers that best serve their needs. This session will detail BSA/AML rule components, including red flags and recent examples for mortgage and commercial loan fraud, CIP documentation, CDD rules (including documenting beneficial ownership), OFAC screening, CTR completion, and much more!


This informative session is designed for deposit operations personnel, loan operations staff, electronic banking staff, BSA/AML officers, and internal auditors.


  • Sample beneficial ownership form and calculator
  • Sample due diligence form
  • Sample suspicious incident report
  • Employee training log
  • Interactive quiz
  • PDF of slides and speaker’s contact info for follow-up questions
  • Attendance certificate provided to self-report CE credits

NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your institution is prohibited. Print materials may be copied for eligible participants only.


"Dawn presented the information in a down to earth manner that was easy to follow and understand. Great presentation!"
- Michelle, Union State Bank

Presented By

Dawn KincaidDawn Kincaid
Brode Consulting Services, Inc.