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BSA/AML/CFT Program Implementation Playbook for Global Banks Under U.S. Supervision

BSA/AML/CFT Program Implementation Playbook for Global Banks Under U.S. Supervision

$395.00
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If you are a compliance officer at a global bank under U.S. supervision, this playbook was built for you.

Managing BSA/AML/CFT obligations across complex international operations while meeting stringent U.S. regulatory expectations is a constant operational burden. You are accountable for building and maintaining a risk-based program that satisfies multiple regulators, withstands audits, and adapts to evolving threats. The pressure to demonstrate effectiveness, produce evidence on demand, and avoid enforcement actions intensifies with every examination cycle.

Traditional consulting routes cost between EUR 80,000 and EUR 250,000 through major advisory firms, often with inconsistent deliverables and limited reuse. Building the same capability in-house requires dedicating 3 to 5 full-time compliance professionals for 4 to 6 months, pulling them from frontline monitoring and risk mitigation work. This playbook delivers the same structured implementation framework for a one-time cost of $395.

What you get

Phase Deliverable File Format Purpose
Program Foundation BSA/AML/CFT Program Charter Template Word Define program scope, governance, and accountability
Program Foundation Regulatory Inventory Matrix Excel Map obligations across BSA, USA PATRIOT Act, FinCEN, OCC, NYDFS
Risk Assessment 7 Domain-Specific Risk Assessment Workbooks Excel Conduct granular risk scoring across key business lines and geographies
Risk Assessment Enterprise-wide Risk Assessment Summary Template Word Consolidate domain findings into board-level report
Policies & Procedures CDD and EDD Policy Template Word Document customer due diligence and enhanced due diligence requirements
Policies & Procedures SAR Filing Procedure Template Word Standardize suspicious activity identification and reporting workflow
Monitoring & Detection Transaction Monitoring Rule Tuning Guide PDF Optimize alert volume and detection accuracy
Monitoring & Detection Case Management Workflow Diagram Visio Visualize investigation lifecycle from alert to disposition
Governance RACI Matrix Template Excel Assign roles for program activities across legal, compliance, and operations
Governance Work Breakdown Structure (WBS) Excel Break down implementation into trackable tasks with owners and timelines
Training & Awareness AML Training Curriculum Outline Word Structure annual training by role and risk exposure
Training & Awareness Training Attendance & Acknowledgment Form Word Document employee participation and understanding
Audit & Examination Audit Preparation Playbook PDF Step-by-step guide to internal audit readiness and response
Audit & Examination Regulatory Examination Response Template Word Prepare consistent, evidence-backed responses to examiner inquiries
Evidence Management Evidence Collection Runbook PDF Standardize how evidence is located, labeled, and stored for audits
Evidence Management Document Retention Schedule Excel Define retention periods for BSA/AML records by type
Technology & Systems System Validation Checklist Excel Verify monitoring systems are operating as intended
Oversight Board Reporting Template PowerPoint Present key metrics, risk trends, and program status to senior leadership

Domain assessments

The seven domain assessments provide structured, 30-question evaluations to quantify risk exposure across critical areas. Each assessment includes scoring guidance, risk rating logic, and evidence references.

  • Customer Risk Assessment , Evaluate inherent risk levels of customer segments including private banking, correspondent banking, and non-resident accounts.
  • Product and Service Risk Assessment , Score risk associated with payment systems, trade finance, digital assets, and lending products.
  • Geographic Risk Assessment , Assess country-level exposure based on FATF grey-list status, corruption indices, and local AML enforcement capacity.
  • Channel Risk Assessment , Analyze risk across physical branches, online banking, mobile apps, and third-party agents.
  • Transaction Risk Assessment , Identify high-risk transaction patterns including structuring, rapid movement of funds, and third-party intermediaries.
  • Third-Party Risk Assessment , Evaluate relationships with agents, fintech partners, and service providers with access to banking systems.
  • Internal Control Risk Assessment , Measure the strength of existing policies, monitoring systems, training, and audit functions.

What this saves you

Activity Typical Internal Effort With This Playbook
Developing a risk assessment methodology 80 to 120 hours 4 to 6 hours (adapt templates)
Drafting core policies and procedures 150 to 200 hours 20 to 30 hours (customize templates)
Preparing for internal audit 60 to 100 hours annually 15 to 25 hours (use runbook)
Responding to regulatory inquiries 40 to 80 hours per request 10 to 20 hours (use response template)
Training curriculum development 50 to 70 hours 8 to 12 hours (adapt outline)

Who this is for

  • Head of AML at a global bank with U.S. operations or branches
  • BSA Officer responsible for program implementation and examination readiness
  • Compliance Manager overseeing risk assessments and policy development
  • Internal Audit Lead preparing for BSA/AML review cycles
  • Chief Compliance Officer seeking to standardize program documentation
  • Regulatory Affairs Specialist coordinating responses to examiner requests
  • Operations Director accountable for transaction monitoring and SAR filing

Cross-framework mappings

This playbook aligns with the following regulatory and supervisory frameworks:

  • Bank Secrecy Act (BSA)
  • USA PATRIOT Act, Title III
  • FinCEN Guidance on Risk-Based AML Programs
  • OCC Bulletin 2014-28 on Anti-Money Laundering Examination
  • NYDFS Regulation 504 (23 NYCRR 504)
  • FATF Recommendations (2012, as updated)
  • FFIEC BSA/AML Examination Manual

What is NOT in this product

  • Customized risk scoring for your specific customer portfolio
  • Integration with your transaction monitoring system or case management platform
  • Legal advice or attorney-client privileged content
  • Training delivery or facilitation services
  • Onsite consulting, gap assessments, or regulatory representation
  • Translations into languages other than English
  • Updates or revisions based on future regulatory changes

Lifetime access and satisfaction guarantee

You receive lifetime access to the playbook with no subscription and no login portal. The files are yours to download, store, and use indefinitely. If this playbook does not save your team at least 100 hours of manual compliance work, email us for a full refund. No questions, no friction.

About the seller

The creator has spent 25 years developing structured compliance frameworks for financial institutions worldwide. They have analyzed 692 regulatory and industry standards and built 819,000+ cross-framework mappings to enable efficient compliance implementation. Their tools are used by more than 40,000 practitioners across 160 countries, supporting compliance in banking, fintech, insurance, and asset management.

Need this for your team? We offer site licenses starting at $2,500 for up to 25 users. Reply to this page or DM Gerard directly on LinkedIn.

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