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AML & SAR Automation Hub

Running a BSA/AML program in the AML & SAR Automation Hub

Govern a BSA/AML program in the AML & SAR Automation Hub, from separation of duties and threshold tuning to quality review, board and examiner reporting, and core banking data feeds.

Advanced2 hr 31 min13 lessonsFor AdministratorsCertificate of completion

Lesson plan (printable)

About this course

This course is for the people who answer for a BSA/AML program run in Moraph's AML & SAR Automation Hub: BSA officers, their deputies, compliance systems administrators and the model and analytics staff who tune detection. It moves past working alerts and cases to the controls around them: who may do what, how detection scenarios and thresholds are changed and evidenced, how decisions are checked, and how the program is reported to the board and examiners.

The Hub records and tests your decisions, but it does not make them. Scenario thresholds, filing decisions and conditions on use remain your institution's judgment, and every SAR is still submitted by a person at your institution through FinCEN's BSA E-Filing System. The examples in this course use fictional institutions, customers and figures.

What you’ll be able to do

  • Design role assignments in the Hub that keep drafting, approving and exporting SARs separate
  • Configure stages, approvals, reason codes and queues to match your BSA/AML procedures
  • Test, approve and evidence a scenario or threshold change, and record it for model governance
  • Use the Model Risk Management (MRM) Validator to inventory, validate and monitor detection scenarios
  • Run alert and case quality review and act on its findings
  • Prepare board, committee and examiner reporting and export audit evidence safely
  • Keep core banking, payment and due-diligence data feeds healthy and know who fixes what

Skills you’ll gain

  • Separation of duties
  • Scenario and threshold tuning
  • Model risk governance
  • AML quality assurance
  • Board and examiner reporting
  • Data feed oversight

Before you start

  • You have completed AML & SAR Automation Hub essentials, or you already work alerts and cases in the Hub
  • You are a BSA officer, deputy, compliance systems administrator or model and analytics lead at your institution
  • You know your institution's BSA/AML procedures and risk assessment
  • Recommended first: AML & SAR Automation Hub essentials

Syllabus

3 modules · 8 readings · 1 practical exercise · 4 assessments

  1. Module 1Program controls and roles

    1. Reading: Roles and separation of dutiesReading · 12 min
    2. Reading: Configuring workflow, approvals and reference dataReading · 12 min
    3. Assessment: Module 1 knowledge checkAssessment · 6 min

  2. Module 2Tuning and model governance

    1. Reading: Scenarios and alert performanceReading · 11 min
    2. Reading: Testing and approving a threshold changeReading · 13 min
    3. Reading: Model governance with the MRM ValidatorReading · 12 min
    4. Practical exercise: Practical: plan a threshold changePractical exercise · 15 min
    5. Assessment: Module 2 knowledge checkAssessment · 7 min

  3. Module 3Quality, reporting and evidence

    1. Reading: Running quality reviewReading · 11 min
    2. Reading: Reporting to the board and examinersReading · 13 min
    3. Reading: Core banking integration and data feedsReading · 12 min
    4. Assessment: Module 3 knowledge checkAssessment · 7 min
    5. Assessment: Final assessmentAssessment · 20 min

What completion gives you

Complete every lesson and pass each assessment to complete the course. You then get a completion record in My learning, and a certificate of completion you can print or share, with a code anyone can check at academy.moraph.com/verify.

Completion is not certification

Course completion records and certificates of completion show that a person completed a Moraph Academy course. They are not a Moraph certification (which needs the certification exam), a professional license or an accreditation, and they do not authorize anyone to configure, operate, resell or support Moraph products on Moraph’s or anyone else’s behalf.

Course updates

  • Version 1 · · First version.