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BSA/AML Due Diligence Expectations during a Merger & Acquisition—Steps for a Smooth Integration

Aired: Thursday, April 12, 2018

1.25 CAFP, 1.25 CRCM

The announcement has been made! Your bank is undergoing a merger or acquisition. What steps should be taken to ensure BSA/AML and OFAC compliance is addressed at every stage?

Examine the process from beginning to end, including what to look for during the due diligence phase, decide how (or if!) to integrate your BSA programs and monitoring system(s), dealing with new or expanded regulatory expectations, and everything in between. Explore successful due diligence practices, integration of programs, and expectations for reporting and monitoring.

Discussion Highlights:

  • The BSA Officer's role during each phase of the due diligence process
  • Documenting the integration plan
  • Determining logistics for reporting and monitoring
  • Finalizing and deploying the plan


  • Rebecca Robertson, CAMS-Audit, CFE, CAFP, Executive Vice President, Director of AML Compliance, South State Bank
  • Christopher D. Simpkins, CAMS, CFE, BSA and OFAC Officer, Arvest Bank

 Continuing Education Credits


ABA Professional Certifications has approved this program for 1.25 CAFP and 1.25 CRCM continuing education credits for the live program and the recording.

CPE logoRecordings are not eligible for CPE credits.

American Bankers Association is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:

​Program Questions? Please contact Linda Shepard / Cari Hearn.

 Pricing & Purchasing


Streaming Online Recording
Now Available

ABA Member • $210
Non-Member • $310



  • BSA/AML Officers, Managers and Analysts
  • Compliance Officers, Managers and Analysts
  • Financial Crimes Professionals or Coordinators
  • Internal Auditors
  • Federal and State Banking Regulators/Examiners
  • CRCMs, CAFPs

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