Financial Crime Controls for Deputy-Level Bank

Description

What is the Financial Crime Controls for Deputy-Level course about?

Build the AML/CFT governance layer your examiner expects, from screening queue to ACPR-ready reporting. A Deputy Manager in Financial Security owns the layer between policy and examiner-facing evidence. When ACPR or FinCEN opens a file, the quality of your screening methodology, your STR documentation, and your correspondent risk rationale determines whether the review closes in days or escalates. Most deputy managers know.

Why this course?

Correspondent banking de-risking requires a documented risk decision, not just a transaction flag. Sanctions screening queues accumulate alerts faster than analysts can disposition them, and the methodology document that explains the calibration logic is often the one artefact missing when examiners arrive. AML typologies evolve quarterly. ACPR, OFAC, and AMLD6 have different documentation thresholds for the same underlying risk. A deputy manager.

What do you take away from the Financial Crime Controls for Deputy-Level course?

Build a correspondent banking risk tiering methodology that produces a two-page rationale document ready for committee review. Calibrate transaction monitoring thresholds against your current typology set and document the logic trail an examiner can follow. Draft STR and SAR reports that meet ACPR, FinCEN, and AMLD6 narrative standards without starting from a blank page each time. Produce a sanctions screening queue management.

What you get with this course?

Twelve written modules covering the full AML/CFT governance lifecycle from correspondent risk tiering through examination closure. Downloadable templates for every module: correspondent risk tiering memo, TM calibration note, typology tracking register, STR narrative template, SAR dual-jurisdiction checklist, examination readiness file, governance calendar, findings-to-closure tracker. Worked examples adapted to a tier-1 bank context with French and US regulatory exposure. The hand-built implementation playbook.

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

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

What does the Financial Crime Controls for Deputy-Level cover on before and after?

STR narratives drafted ad hoc, correspondent risk decisions documented inconsistently, examination readiness file assembled under pressure each cycle, typology updates tracked in a shared inbox rather than a formal register. A documented governance layer that produces the right artefact for the right regulator on demand, an examination readiness file that stays current rather than being rebuilt, and a TM calibration record that.

What happens if you do not address this?

Repeat examination findings on documentation gaps are increasingly treated as governance failures rather than administrative oversights. An examiner who pulls a correspondent file and finds no written risk rationale, or pulls the STR log and finds narrative that does not meet the ACPR standard, opens a wider review. The cost is not the finding itself but the remediation scope that follows.

Who it is for?

Deputy managers and senior analysts in financial security, AML compliance, and financial crime units at tier-1 and tier-2 banks. Accountable for day-to-day screening operations, STR/SAR production, correspondent risk reviews, and examination readiness. Not writing policy from scratch, but closing the gap between existing policy and the documented evidence an examiner actually asks for.

More answers: what you get with every course, refund policy, all help answers.

A focused course, tailored for you

Financial Crime Controls for Deputy-Level Bank Managers

Build the AML/CFT governance layer your examiner expects, from screening queue to ACPR-ready reporting.

A Deputy Manager in Financial Security owns the layer between policy and examiner-facing evidence. When ACPR or FinCEN opens a file, the quality of your screening methodology, your STR documentation, and your correspondent risk rationale determines whether the review closes in days or escalates. Most deputy managers know what the right answer is. The problem is the artefact trail that proves it.

$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

What you walk away with

Build a correspondent banking risk tiering methodology that produces a two-page rationale document ready for committee review.
Calibrate transaction monitoring thresholds against your current typology set and document the logic trail an examiner can follow.
Draft STR and SAR reports that meet ACPR, FinCEN, and AMLD6 narrative standards without starting from a blank page each time.
Produce a sanctions screening queue management protocol that moves alerts to disposition within your operational SLA.
Create an examination readiness file that maps your controls to the specific artefacts each regulator pulls first.
Own the AML/CFT governance calendar so reporting cycles, typology updates, and de-risking reviews do not compete for the same two weeks.

The 12 modules

Module 1. The Deputy Manager's Governance Map

What a Deputy Manager in Financial Security actually owns versus what sits with the MLRO or the business line. This module draws the accountability boundary precisely, covering the artefacts you sign, the escalation paths you manage, and the examination touch-points where your documentation is the primary evidence. Includes a one-page governance map template you adapt to your org structure before module two.

Module 2. Correspondent Banking Risk Tiering

The three-tier correspondent risk methodology used by regulators as the baseline expectation. This module walks through the risk indicators (jurisdiction, product mix, ownership structure, prior findings), the weighting logic, and the output document: a two-page rationale memo that names the decision, the evidence consulted, and the review owner. Includes a tiering template pre-mapped to FATF and ACPR correspondent guidance.

Module 3. Transaction Monitoring Calibration

How to document the logic behind your TM threshold settings so that when an examiner asks why your alert rate is at a particular level, you have a written calibration record rather than an oral explanation. Covers the baseline calibration note, the typology-to-rule mapping table, and the review cadence document. Worked example uses a mid-size correspondent book with mixed jurisdiction exposure.

Module 4. AML Typology Integration

ACPR, FATF, and FinCEN each publish typology updates on different schedules. This module builds the quarterly typology review process: how to pull the update, map it against your current rule set, identify gaps, and produce the two-line change record that shows your monitoring stayed current. Includes a typology tracking register template and a gap-to-rule mapping worksheet.

Module 5. Sanctions Screening Queue Management

Alert queues that accumulate faster than they clear create examination findings even when the underlying screening logic is sound. This module covers the disposition workflow: the triage criteria, the analyst decision record, the escalation threshold, and the queue-age SLA. Produces a queue management protocol document that examiners accept as evidence of operational control over the screening function.

Module 6. OFAC and EU Consolidated List Alignment

Running a dual-jurisdiction screening programme against both OFAC SDN and the EU Consolidated List requires explicit documentation of how conflicts are resolved and which list takes precedence for which customer segment. This module builds the dual-list alignment note, the false-positive handling procedure, and the periodic list-refresh confirmation record. Includes a jurisdiction matrix template covering the eight most common conflict scenarios.

Module 7. STR Drafting to ACPR Narrative Standard

ACPR's TRACFIN reporting standard expects a specific narrative structure: the triggering fact, the suspicious indicators, the account history context, and the decision to report. This module walks through the four-section STR template, the common gaps that draw ACPR follow-up questions (vague suspicion narrative, missing account context, unsupported amounts), and the internal review record that shows the STR went through the right approval chain.

Module 8. SAR Production for Cross-Border Exposure

When a suspicious activity touches both French and US correspondent relationships, the SAR narrative must satisfy FinCEN's structuring requirements while remaining consistent with the TRACFIN filing. This module builds the dual-jurisdiction SAR workflow: the narrative alignment checklist, the attorney-client privilege boundary note, and the coordination record between your MLRO and the US compliance officer. Worked example covers a correspondent credit line with a Latin American counterpart.

Module 9. AMLD6 Predicate Offence Expansion

AMLD6 extended the list of predicate offences and tightened the criminal liability provisions for compliance officers. This module translates the regulatory change into three operational artefacts: an updated risk assessment addendum, a revised typology watch-list covering the new predicate categories (cybercrime, environmental crime), and a staff awareness record that documents what your team was told and when.

Module 10. Examination Readiness File

Regulators pull a predictable set of artefacts in the first 48 hours of an AML examination: the risk assessment, the programme document, the recent STR/SAR log, the screening methodology note, and the training records. This module builds the examination readiness file as a living folder that stays current rather than being assembled under pressure. Includes a regulator-specific pull-list for ACPR, ECB, and FinCEN examination templates.

Module 11. The AML Governance Calendar

A deputy manager's AML obligations are cyclical: quarterly typology reviews, annual risk assessment updates, ACPR reporting windows, correspondent re-reviews triggered by ownership changes. This module builds the governance calendar as a working tool rather than a wall chart: the trigger events, the artefact owners, the lead times, and the escalation points. Ensures reporting cycles and de-risking reviews do not compete for the same two-week window before each deadline.

Module 12. Closing the Examiner Loop

Examiner findings that come back as repeat observations are the most damaging outcome of an AML review. This module covers the remediation record: how to document the root cause, the corrective action taken, the control owner, and the test date. Produces a findings-to-closure tracker that shows each prior observation was genuinely addressed, not just acknowledged. Includes a self-test protocol you run before the next examination cycle opens.

How this addresses your situation

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

Correspondent banking de-risking committee memo due, no documented risk tiering methodology: Modules 2 and 10.

Transaction monitoring calibration questioned by internal audit, no written logic trail: Modules 3 and 4.

STR queue backlog with ACPR reporting window approaching: Modules 5, 7, and 11.

Prior examination finding on sanctions screening still open: Modules 5, 6, and 12.

What you get with this course

Twelve written modules covering the full AML/CFT governance lifecycle from correspondent risk tiering through examination closure.
Downloadable templates for every module: correspondent risk tiering memo, TM calibration note, typology tracking register, STR narrative template, SAR dual-jurisdiction checklist, examination readiness file, governance calendar, findings-to-closure tracker.
Worked examples adapted to a tier-1 bank context with French and US regulatory exposure.
The hand-built implementation playbook: a prioritised 90-day action sequence mapped to your current role and the examination calendar, delivered alongside course access.

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

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

Before and after

Before

After

A documented governance layer that produces the right artefact for the right regulator on demand, an examination readiness file that stays current rather than being rebuilt, and a TM calibration record that closes the most common examiner question before it becomes a finding.

What happens if you do not address this

Who it is for

Who this is NOT for. Policy writers building a framework from zero. Technology vendors building screening platforms. Financial crime consultants who already run examiner-readiness programmes. Junior analysts not yet accountable for governance outputs.

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. Approximately 4-6 hours across the twelve modules, with additional time to adapt the templates to your current file set. Most participants work through the examination readiness and STR modules first, then return to the calibration and calendar modules during their next review cycle.

Why $199 is the right number

Sending a deputy manager to an AML conference covers typology updates but does not produce the artefacts. Hiring an external consultant to run an examination readiness review typically costs five to fifteen times the course fee and delivers a report rather than reusable templates. Internal training programmes exist at most banks but address policy awareness, not the specific documentation outputs a deputy manager is expected to own.

FAQ

Is this relevant outside the French regulatory perimeter?

The artefact framework applies to any deputy-level AML role at a bank with cross-border correspondent exposure. The module examples reference ACPR, AMLD6, OFAC, and FinCEN because those are the most common regulatory combinations for European banks with US dollar clearing. The templates are jurisdiction-neutral; the worked examples name the specific standards so you can map them to your own perimeter.

Does the course cover the technical side of screening platforms?

No. The course covers the governance and documentation layer that sits on top of your existing screening technology. The assumption is that your bank already has a TM system and a sanctions screening engine. The modules address the calibration records, the disposition workflows, and the examination artefacts that the technology produces but does not document on its own.

What is in the tailored implementation playbook?

The playbook is built after you enrol, based on your role and the current examination cycle. It sequences the twelve modules into a prioritised 90-day action plan, identifies which templates to complete first, and notes the governance calendar milestones most relevant to a deputy manager at a major bank with ACPR and OFAC reporting obligations.

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.