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Aml Compliance Program

Draft Board-Ready AML Compliance Programs in Minutes

14 minutes with CaseMark

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Aml Compliance Program

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Aml Compliance Program

Overview

CaseMark's AML Compliance Program skill uses AI to draft comprehensive, board-ready Anti-Money Laundering compliance programs for U.S. financial institutions. Covering every BSA/FinCEN requirement—from CIP and CDD to SAR/CTR reporting, OFAC screening, and independent testing—the tool produces tailored policy documents calibrated to your institution's unique risk profile and regulatory obligations.

Drafting or updating an AML compliance program is one of the most labor-intensive tasks in financial institution compliance. It requires synthesizing dozens of regulatory sources—BSA, FinCEN guidance, OFAC requirements, FFIEC examination manuals—while tailoring every control to the institution's specific risk profile. The process typically takes weeks of attorney and compliance officer time, and gaps can lead to costly enforcement actions.

CaseMark automates the heavy lifting of AML program drafting by analyzing your institutional profile, existing policies, and risk data to produce a comprehensive, board-ready compliance program. The AI ensures no required element is missed—from CIP and CDD frameworks to SAR filing procedures and independent testing protocols—while calibrating every control to your institution's size, complexity, and risk exposure.

How it works

  1. 1. Upload your existing AML policies, institutional profile, and risk data

  2. 2. AI analyzes your institution type, risk profile, and regulatory requirements

  3. 3. CaseMark drafts a comprehensive, board-ready AML compliance program

  4. 4. Review, customize, and export in your preferred format (DOCX, PDF)

What you get

  • Program Foundation & Board Endorsement

  • AML Compliance Officer Structure & Duties

  • Customer Identification Program (CIP)

  • Customer Due Diligence (CDD) & Enhanced Due Diligence (EDD)

  • SAR/CTR Reporting & BSA Filing Procedures

  • OFAC Screening & Sanctions Compliance

  • Risk Assessment Methodology

  • Training Program Requirements

  • Independent Testing & Audit Framework

  • Governance & Recordkeeping

What it handles

  • Comprehensive CIP, CDD, and EDD policy frameworks tailored to institution type

  • SAR/CTR reporting procedures and FinCEN filing workflows

  • OFAC screening protocols and sanctions compliance integration

  • Risk assessment methodology calibrated to business lines and geography

  • Governance structures with board oversight and compliance officer mandates

  • Independent testing and training program requirements

Required documents

  • Existing AML Policies

    Your current AML/BSA compliance program, policies, and procedures

    .pdf, .docx

  • Institutional Profile

    Organization chart, business line descriptions, product offerings, customer demographics, and geographic footprint

    .pdf, .docx, .xlsx

Supporting documents

  • Risk Assessments & Audit Reports

    Prior BSA/AML risk assessments, internal audit findings, and independent testing reports

    .pdf, .docx

  • Regulatory Correspondence

    Examination reports, MRAs, consent orders, or enforcement actions from regulators

    .pdf, .docx

  • FinCEN Filing History

    SAR and CTR filing statistics and trends for context on reporting volume and patterns

    .pdf, .xlsx

Why teams use it

Reduce AML program drafting time from weeks to minutes while maintaining regulatory rigor

Ensure comprehensive coverage of all BSA pillars, FinCEN requirements, and OFAC obligations

Tailor controls to your institution's specific risk profile, business lines, and geographic footprint

Produce board-ready documentation that aligns with FFIEC examination expectations

Questions

What types of financial institutions does this cover?

CaseMark's AML Compliance Program skill supports banks, money services businesses (MSBs), broker-dealers, and other financial institutions subject to BSA/FinCEN requirements. The output is automatically calibrated to your specific institution type and applicable CFR parts.

Does the generated program satisfy BSA examination requirements?

Yes. CaseMark drafts programs aligned with the FFIEC BSA/AML Examination Manual, covering all required pillars: internal controls, BSA compliance officer designation, training, independent testing, and CDD procedures. However, you should always have the final document reviewed by qualified compliance counsel.

How does the AI handle different risk profiles?

CaseMark uses a risk-based approach, calibrating controls to your institution's size, complexity, customer demographics, product mix, and geographic footprint. Higher-risk areas receive enhanced due diligence and monitoring recommendations automatically.

Can I update an existing AML program rather than create one from scratch?

Absolutely. Upload your current AML program along with recent exam reports or audit findings, and CaseMark will identify gaps and generate an updated, comprehensive program that addresses deficiencies while preserving your existing framework.

Does the output include OFAC screening and sanctions compliance?

Yes. CaseMark includes detailed OFAC screening protocols, interdiction procedures, and sanctions compliance workflows as part of the comprehensive AML program, covering SDN list screening, 50% rule application, and escalation procedures.

How current are the regulatory requirements used?

CaseMark incorporates current BSA/FinCEN regulations, FinCEN advisories, and federal agency guidance. We recommend reviewing the output against the most recent regulatory updates and any institution-specific supervisory guidance you have received.

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