Lesson plan

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.

Back to the course

Product: AML & SAR Automation Hub
Level: Advanced
For: Administrators
Total time: 2 hr 31 min
Lessons: 13 in 3 modules
Assessments: 4

Course objectives

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

Before the course

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

Module 1: Program controls and roles (30 min)

Lesson	Type and time	Learners will be able to	Activity and assessment
Roles and separation of duties	Reading 12 min	Map the people in your BSA/AML function to the Hub's roles Explain the four-eyes rules the Hub enforces and why examiners look for them Spot role assignments that would break separation of duties	Reading
Configuring workflow, approvals and reference data	Reading 12 min	Match record stages and allowed moves to your written procedures Decide which approval settings to keep and how to change reason codes and queues safely Run the access review and manage temporary examiner access	Reading
Module 1 knowledge check	Assessment 6 min	Check your understanding of roles, separation of duties and workflow configuration	5 questions · pass mark 70% · unlimited attempts

Module 2: Tuning and model governance (58 min)

Lesson	Type and time	Learners will be able to	Activity and assessment
Scenarios and alert performance	Reading 11 min	Explain how detection scenarios, thresholds and data quality produce alerts Read the closure reasons and alert volumes reports to find scenarios that need tuning Separate a tuning problem from a data problem	Reading
Testing and approving a threshold change	Reading 13 min	Run a threshold change through test, review, approval and application in the right order Interpret a threshold test result, including SAR cases a change would have missed Produce tuning evidence that examiners and model validators can follow	Reading
Model governance with the MRM Validator	Reading 12 min	Explain why detection scenarios fall under model risk governance Describe what the Hub shares with the MRM Validator and what comes back Follow a scenario through inventory, validation, findings and remediation with independence intact	Reading
Practical: plan a threshold change	Practical exercise 15 min	Turn alert performance data into a testable tuning question Write a threshold change plan with the right people, controls and evidence	Practical exercise with a checklist
Module 2 knowledge check	Assessment 7 min	Check your understanding of scenario tuning, threshold testing and model governance	5 questions · pass mark 70% · unlimited attempts

Module 3: Quality, reporting and evidence (1 hr 3 min)

Lesson	Type and time	Learners will be able to	Activity and assessment
Running quality review	Reading 11 min	Design a quality review sample that tests the decisions that matter most Record findings and route rework without changing original decisions Use quality results for training and tuning	Reading
Reporting to the board and examiners	Reading 13 min	Choose the right Hub reports for committee, board and examiner audiences Produce repeatable, as-of-date evidence and export it safely Prepare an examination response without assembling evidence by hand	Reading
Core banking integration and data feeds	Reading 12 min	Describe the data feeds the Hub depends on and what each one supplies Monitor feed health and respond to a missing or failed load Decide who fixes a problem, and manage Work API keys safely	Reading
Module 3 knowledge check	Assessment 7 min	Check your understanding of quality review, reporting, audit evidence and data feeds	5 questions · pass mark 70% · unlimited attempts
Final assessment	Assessment 20 min	Show that you can govern a BSA/AML program in the AML & SAR Automation Hub Apply separation of duties, tuning controls, quality review and evidence practices to realistic situations	12 of 18 questions · pass mark 80% · 3 attempts

Completing the course

Every lesson must be completed: reading lessons are marked complete by the learner, exercises when every checklist item is confirmed, and assessments only when passed. Completing the course issues a certificate of completion with a verification code.