This practical course provides comprehensive guidance on preparing for and managing AML/CFT regulatory examinations and inspections effectively. Participants will learn about examination preparation, onsite management, communication strategies, and response development. The course covers both technical preparation and soft skills needed for successful examination outcomes. Through realistic scenarios and practical exercises, learners will develop the expertise needed to navigate regulatory examinations confidently and achieve positive outcomes for their organizations.
Managing an AML/CFT Regulatory Examination or Inspection
Anti-Money Laundering AML/CFT
October 25, 2025
Introduction
Objectives
Key Learning Objectives:
- Understand the regulatory examination process and expectations
- Learn to prepare effectively for AML/CFT examinations
- Master examination management and coordination techniques
- Develop skills in regulator communication and relationship management
- Learn to respond effectively to examination findings
- Understand remediation planning and validation requirements
- Master documentation and evidence preparation
- Learn to manage multi-jurisdictional examinations
- Develop crisis management and issue escalation skills
Target Audience
- AML/CFT compliance officers
- MLROs and compliance heads
- Legal and regulatory affairs staff
- Senior management and board members
- Risk management professionals
- Internal audit staff
- Consultants supporting regulatory exams
- Financial institution executives
Methodology
- Mock examination simulations
- Response writing exercises
- Regulator communication role-playing
- Remediation planning workshops
- Case studies of examination outcomes
- Industry expert presentations
- Peer discussion and best practice sharing
Personal Impact
- Enhanced examination management skills
- Improved regulator communication abilities
- Stronger crisis management capabilities
- Better negotiation and influence skills
- Increased confidence in examination situations
- Career advancement in regulatory affairs
Organizational Impact
- More successful examination outcomes
- Enhanced regulator relationships
- Reduced enforcement risks
- Improved compliance program effectiveness
- Stronger examination readiness
- Continuous compliance improvement
Course Outline
Unit 1: Examination Fundamentals
Regulatory Framework- Examination authority and scope
- Regulator expectations and methodologies
- Examination types and frequencies
- Legal rights and obligations
- Pre-examination planning
- Onsite examination activities
- Post-examination follow-up
- Appeal and challenge processes
Unit 2: Examination Preparation
Readiness Assessment- Gap analysis and remediation
- Documentation preparation
- Staff preparation and briefing
- Mock examination exercises
- Document inventory development
- Sample selection preparation
- Management information compilation
- Response team establishment
Unit 3: Examination Management
Onsite Coordination- Examiner liaison appointment
- Meeting management and facilitation
- Information request management
- Issue tracking and monitoring
- Regulator relationship management
- Internal communication protocols
- Response development and review
- Escalation procedures
Unit 4: Findings Management
Response Development- Finding analysis and assessment
- Root cause identification
- Management response preparation
- Remediation plan development
- Finding severity discussion
- Remediation timeline negotiation
- Enforcement action prevention
- Relationship preservation strategies
Unit 5: Post-Examination Activities
Remediation Implementation- Action plan execution
- Progress tracking and reporting
- Validation testing
- Regulator follow-up communication
- Lessons learned analysis
- Process improvement implementation
- Examination readiness maintenance
- Industry benchmarking
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