Description

A focused course, tailored for you

The AML Governance Senior Manager's Evidence Pack Playbook

Name: The AML Governance Senior Manager's Evidence Pack Playbook
Price: 199 USD
Availability: InStock

Turn fragmented AML monitoring, model validation, and SAR quality work into one defensible evidence pack the regulator opens first.

An AML Governance Senior Manager owns the seam between the BSA officer's certification, the model risk team's validation work, the operations team running the alerts, and the board's risk appetite statement. When a regulator asks a single question about a threshold change, the answer lives in six systems and four inboxes. This course turns that scramble into a standing, exam-ready evidence pack.

$199 one-time

Tailored to your situation. Access within 24 hours. 30-day money-back.

Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.

Why this course

AML governance work is judged on documentation, not on intent. The senior manager role sits between the BSA officer signing certifications, the model risk function validating the transaction-monitoring scenarios under SR 11-7, the operations team clearing alerts, and the compliance committee reporting to the board. Every threshold tune, every scenario retire, every customer risk rating recalibration, every SAR filing decision needs a documented rationale, an independent challenger, and a record of who saw it. Regulators across federal examiners and state authorities increasingly open exams by asking for the governance artefacts before the operations artefacts. The senior manager who has assembled the evidence pack in advance walks into the exam differently than the one who has to reconstruct it under a 30-day request letter. This course is built for the assembly job: which artefacts go in, how each one is sourced, who certifies it, what the standing cadence looks like, and how the pack feeds the board reporting that closes the loop.

What you walk away with

A standing AML governance evidence pack template, scoped to BSA/AML, OFAC, and CIP exam modules, ready before the next request letter lands.
A documented threshold-change and scenario-retire workflow that satisfies both SR 11-7 model risk expectations and BSA programme expectations in the same artefact.
A SAR quality QA sampling protocol that produces defensible narrative scoring evidence rather than count statistics.
A customer risk rating recalibration log that ties back to the customer due diligence rule and the firm's risk appetite statement.
A board reporting cadence and template that closes the governance loop in a way an examiner can follow end to end.

The 12 modules

Module 1. The standing AML governance evidence pack

Defines the artefacts that belong in a standing evidence pack and the ones that belong only on request. Covers the BSA officer certification, the most recent independent BSA/AML testing report, the AML risk assessment, the model risk inventory entry for the transaction monitoring system, the SAR quality QA results, the OFAC screening tuning rationale, and the board minutes recording programme approval. Sets the assembly cadence so the pack is current at any week of the year.

Module 2. Threshold change documentation that survives independent challenge

Walks through the lifecycle of a single threshold change from analyst recommendation through model risk concurrence to BSA officer sign-off and post-implementation review. Templates the rationale memo, the back-testing evidence required, the false-positive and false-negative impact analysis, and the documentation trail the independent testing function will look for. Closes with the standing log structure that captures every change for the exam window.

Module 3. Aligning AML model governance with SR 11-7

Translates SR 11-7 model risk management expectations into the AML transaction monitoring context. Covers tiering of the monitoring scenarios as models versus rules, the conceptual soundness review, ongoing performance monitoring metrics, outcomes analysis, and the model validation report structure. Addresses the recurring tension between the model risk function and AML operations over what counts as a model and how often it needs revalidation.

Module 4. SAR quality QA that produces defensible evidence

Builds a SAR quality QA protocol that goes beyond counting filings. Covers sample selection methodology, narrative scoring rubrics covering the five W elements and the supporting transaction analysis, reviewer calibration, trending of quality scores over time, and the feedback loop into investigator training. Produces evidence that the QA programme is operating, not just that it exists on paper.

Module 5. Customer risk rating recalibration and the CDD rule

Connects the customer risk rating methodology to the customer due diligence rule, the beneficial ownership requirements, and the AML risk assessment. Covers the recalibration trigger events, the periodic refresh cadence by risk tier, the documentation required when a rating moves up or down, and the queue management for enhanced due diligence reviews triggered by the recalibration.

Module 6. OFAC and sanctions screening tuning evidence

Documents the sanctions screening tuning lifecycle, including list management for OFAC SDN, sectoral sanctions identifications, the EU and UK consolidated lists where applicable, name matching algorithm selection, fuzzy matching threshold setting, false positive rate management, and the evidence trail for changes. Covers the standing artefact set an OFAC examiner expects to see on the first day of an exam.

Module 7. Look-back analyses and the rationale for scope

Covers how to scope and document a look-back when a tuning change or a control gap creates one. Addresses the population definition, sampling versus full re-review, the disposition workflow, escalation criteria for newly identified SARs, and the closure memo that records the conclusions. Sets up the governance evidence that examiners look for when a previous look-back has occurred in the exam window.

Module 8. KRIs the BSA officer can defend

Builds a KRI suite for the AML programme that the BSA officer can present to the board without caveats. Covers alert ageing, alert disposition quality, SAR filing timeliness, EDD case ageing, training completion, look-back status, model performance metrics, sanctions screening hit volumes, and the trending presentation that distinguishes signal from noise. Closes with the governance routine for KRI breach response.

Module 9. The independent testing relationship

Covers the senior manager's role in the independent BSA/AML testing cycle, from scoping the annual testing plan with internal audit or the third party, providing artefacts efficiently, managing finding response and remediation, and incorporating the test report into the standing evidence pack. Addresses the recurring friction of repeat findings and the remediation evidence that closes them out for examiner satisfaction.

Module 10. Board reporting that closes the loop

Templates the board and AML committee reporting deck that ties the entire programme together: risk assessment status, KRIs, model performance, SAR statistics with quality overlay, look-back status, training, independent testing findings and remediation, regulatory engagement, and the BSA officer's certification. Covers the cadence, the supporting appendices, and the minutes language that records risk acceptance.

Module 11. Exam preparation as a standing routine, not a fire drill

Converts exam preparation from a quarterly project into a weekly routine. Covers the request letter response workflow, document production discipline, examiner interview preparation, the role of compliance counsel, the standing evidence pack as the entry document, and the post-exam debrief that updates the programme. Addresses the difference between a federal banking exam, an SEC or FINRA exam, and a state regulator exam.

Module 12. The implementation playbook for THIS programme

Hands over the per-buyer implementation playbook built for the recipient's specific programme context. Covers the assembly sequence, the artefact owners across the BSA office, model risk, operations, and compliance, the cadence calendar, the document repository structure, and the first ninety-day plan that produces a standing evidence pack the next exam letter can land into without a scramble.

How this addresses your situation

Specific modules that map to what you said you are dealing with.

Regulator asks for the documentation of a transaction monitoring threshold change made last quarter, and which independent function challenged it. Modules 2 and 3.

Internal audit issues a SAR quality finding that the narrative scoring is unsystematic. Module 4.

Model risk function escalates that the transaction monitoring scenarios are out of validation cycle. Module 3.

Board AML committee asks for a single deck that ties the programme together and supports the BSA officer's certification. Module 10.

What you get with this course

Twelve written modules in the Art of Service learning environment with worked examples drawn from realistic AML governance scenarios.
Downloadable templates for the evidence pack assembly, threshold change rationale memo, SAR quality QA scoring rubric, KRI dashboard, board reporting deck, and the standing exam-preparation routine.
The hand-built implementation playbook scoped to the buyer's specific programme context.
Thirty-day money-back guarantee.

What you will have in hand by Day 1, Week 1, Month 1

Within 24 hours of purchase the account in the learning environment is provisioned and the hand-built implementation playbook is delivered alongside it.

Module one and the evidence pack template are workable in the first session, designed for a four-to-six week roll-out across the AML governance function.

Before and after

Before

A request letter arrives. Three weeks of scrambling across SharePoint, the model risk inventory, the case management system, and four inboxes. Some artefacts are current, some are not, and the rationale for last quarter's tuning change has to be reconstructed from memory.

After

A request letter arrives. The standing evidence pack is opened, the most recent version timestamps confirmed, and the response goes out within the first week with the supporting artefacts already curated, certified, and indexed against the request items.

What happens if you do not address this

When a federal or state examiner opens an AML exam, the governance evidence is what gets graded first. Programmes that can produce the documentation trail in days come out with administrative findings at most. Programmes that take weeks to assemble it draw written agreements, MOUs, or worse. The senior manager owning the documentation seam is the one whose name appears in the supervisory record either way.

Who it is for

AML Governance Senior Managers, BSA/AML compliance managers, financial crimes governance leads, and senior compliance officers responsible for the documentary defensibility of the AML programme at a US broker-dealer, retail bank, custody bank, or wealth management firm. Particularly relevant where the senior manager owns the intersection of BSA officer certifications, model risk management for transaction monitoring scenarios, SAR quality, sanctions tuning, and board reporting.

Who this is NOT for. Front-line AML analysts clearing alerts on a daily queue. KYC onboarding analysts. SAR writers without governance responsibility. Audit staff doing independent testing rather than first-line governance. This course assumes the buyer owns the governance evidence question, not the case work.

How it arrives

Text-based course in the Art of Service learning environment, plus downloadable templates and worked examples for every module, plus the hand-built implementation playbook delivered alongside course access.

Time investment. Roughly two hours per module reading and templating, plus four to six hours of internal coordination per module to land the artefact in the firm's repository. Total commitment six to eight weeks at part-time pace, faster under exam pressure.

Why $199 is the right number

Big four AML governance advisory engagements that produce a similar evidence pack price in the high five to low six figures and include consultant time the senior manager could redirect internally. Industry conference materials are useful but stop at the methodology level and do not produce ready artefacts. Internal builds without a reference pack risk reinventing structures regulators have already commented on. The course price sits at 199 USD with the implementation playbook hand-built per buyer.

FAQ

Is this course US-specific or does it cover other jurisdictions?

The primary frame is US BSA/AML, OFAC, and CIP, applicable to broker-dealers, retail banks, custody banks, and wealth firms supervised by federal banking regulators, the SEC, or FINRA. Modules six and ten reference EU and UK sanctions and reporting conventions for firms with cross-border programmes, but the core framing is US.

Does this cover transaction monitoring tooling specifics like Actimize or Mantas?

No. The course is tool-agnostic. The threshold-change documentation, model validation, tuning evidence, and look-back modules apply whichever platform the firm runs. The implementation playbook will reference the buyer's specific platform context.

How is this different from doing the ACAMS or CAMS pathway?

ACAMS certifications cover the underlying AML knowledge base. This course assumes that knowledge and focuses on the governance documentation layer that examiners grade, which the certifications do not directly address.

What is the hand-built implementation playbook?

It is a per-buyer document that takes the course templates and adapts them to the buyer's specific programme context, including the firm type, the primary regulator, the transaction monitoring platform, the model risk function structure, and the board reporting cadence.

30-day money-back guarantee. If after a week of working through the materials this is not what you needed, reply to the receipt email and a full refund is processed. No questions, no forms.

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.