DSW Advisory Group — Compliance Intelligence Suite

Banking Compliance AI

Ask anything — answers are grounded in live sources (FinCEN, FFIEC, OCC, NCUA) with citations

DSW Compliance Engine

DSW

Welcome to the DSW Advisory Group Compliance Intelligence Suite.

I'm your banking compliance AI — expert in BSA/AML (Bank Secrecy Act / Anti-Money Laundering), KYC/CDD (Know Your Customer / Customer Due Diligence), SAR (Suspicious Activity Report) filing, OFAC (Office of Foreign Assets Control) sanctions, plus FinCEN, OCC, FDIC, fraud prevention, exam prep and more.

New to an acronym? Check the 📖 Glossary tab for plain-English definitions. Answers here are grounded in live, authoritative sources with clickable citations so you can verify. Use the tabs above or ask me anything right here.

DSW Advisory Group — For informational and training purposes. Consult your BSA Officer for institution-specific decisions.

SAR Builder

Structured to the official FinCEN SAR (Form 111) — Parts I–V, with an AI-drafted narrative

FinCEN-Structured

This mirrors the official FinCEN SAR layout and its data-entry order (Part IV → III → I → II → V). Fields marked ★ are FinCEN "critical" fields. 🛡️ This builds a complete draft to enter into the BSA E-Filing System — it does not file for you, and your BSA Officer reviews before filing.

Part IV — Filing Institution Contact Information

★ Filing Institution Name

★ Filing Institution TIN (EIN)

★ Institution Type

Primary Federal Regulator

★ Filing Institution Address

★ Contact Office / Person

★ Contact Phone

Filing Type

Part III — Financial Institution Where Activity Occurred

Same as filing institution?

Location / Branch Name

Branch Address

Account Number(s) Affected

Loss to Institution (if any)

Date Account Opened

Part I — Subject Information

★ Subject Name / Entity

Subject Type

TIN / SSN / EIN

Date of Birth (if individual)

Address

Phone

ID Type & Number

Relationship to Institution

Employee ID (if subject is an insider)

E-mail Address

Website (URL)

Role in Activity

Corroborative Statement from Subject?

Part II — Suspicious Activity Information

★ Date Activity First Detected

★ Activity Date Range

★ Total Dollar Amount Involved

Number of Transactions

Transaction Type(s)

★ Suspicious Activity Category

IP Address (if cyber-related)

Instrument / Payment Mechanism

★ Law Enforcement Contacted?

Financial Loss Amount

Part V — Narrative

★ Describe the activity (your plain-language notes — AI writes the formal narrative)

Investigation Interview

Generate appropriate interview questions and document the conversation and findings

Investigation Aid

🛡️ Financial institutions conduct interviews, not interrogations. Never disclose to anyone that a SAR is being considered or filed (tipping off is a federal violation). Keep questions routine and fact-finding. For employee/insider matters, coordinate with HR and counsel. This tool helps you prepare and document — your BSA Officer and, where needed, legal counsel direct the investigation.

Interview Setup

Interview Type

Activity / Concern Being Reviewed

Interviewee Name / Reference

Interviewer(s)

Date of Interview

Account / Reference #

Brief Context (what prompted the interview)

Document the Interview

Record what was asked, the responses, and your observations. 🔒 This clears when you close the tab and is never stored on our servers.

Interview Notes — Questions Asked & Responses

Observations (demeanor, inconsistencies, supporting documents provided)

Findings / Conclusion

Red Flag Checker

Describe any transaction or behavior — AI identifies risk and recommends action

AI Risk Assessment

Describe a transaction or customer situation. Get a full risk assessment — severity rating, red flags identified, SAR recommendation, and next steps.

Activity Type

Customer Type

Describe What You Observed

Policy Gap Analyzer

Paste your compliance policy — AI identifies every regulatory gap with citations

AI Gap Analysis

Paste any BSA/AML policy or procedure. AI compares it against current regulatory requirements and produces a detailed gap analysis with specific regulatory citations.

Institution Name

Policy Type

Institution Size

Primary Regulator

Paste Your Policy Text

Document Templates

AI-generated compliance policy and procedure templates — ready to customize and adopt

AI-Generated

Click any template to generate it instantly. Copy the text and save it as a Word doc or PDF. Each template is built on current BSA/AML regulatory requirements.

Ready-Made Templates

🏦

BSA/AML Program Policy

Complete 5-pillar BSA/AML program policy with all required regulatory elements.

Generate Template

📋

SAR Filing Procedures

Step-by-step SAR procedure covering detection, evaluation, committee, and recordkeeping.

Generate Template

🪪

CDD / KYC Procedures

CIP, risk rating, EDD, beneficial ownership, and ongoing monitoring procedures.

Generate Template

🚫

OFAC Compliance Policy

OFAC screening, match resolution, blocking, and reporting procedures.

Generate Template

📊

Transaction Monitoring Policy

Alert thresholds, investigation workflow, disposition, and model validation.

Generate Template

📄

CTR Policy

$10,000 threshold, aggregation rules, exemptions, and filing procedures.

Generate Template

Custom Template Generator

Need something specific? Describe it and AI generates it.

Describe the Template You Need

DSW Compliance Score

Adaptive program assessment — questions adjust to your answers, then AI scores and builds your action plan

Adaptive · AI-Scored

This is a guided assessment. Questions adapt based on your answers — just like a real examiner would dig in. At the end you get your DSW Compliance Score, a written analysis, and a prioritized remediation action plan.

Institution Name (for your report)

🔒 Your most recent score is saved on this device only. Your assessment answers, uploads, and generated documents are never stored or sent to our servers — they clear when you close this tab.

Regulatory Feed

Search across FinCEN, OCC, FDIC, Fed, NCUA, FFIEC, IRS, SEC, CFPB, FTC & more — pulled live with sources

Live Search

⚠️ This feed surfaces recent items found from public sources — it is not a complete or guaranteed-current record of all regulations. It may miss new rules or contain summaries that are out of date. Always confirm directly at the regulator's official website (FinCEN, OCC, FDIC, NCUA, FFIEC) and with your BSA Officer or legal counsel before relying on any item for a compliance decision.

Exam Readiness Tracker

35-item checklist across 7 categories — track your preparation in real time

Interactive Tracker

Check off items as your institution completes them. Overall readiness score updates live. 🔒 Your progress is saved on this device only.

Overall Exam Readiness 0%

CTR Builder

Currency Transaction Report — enter the cash activity, AI prepares your CTR-ready summary

AI-Powered

For cash transactions over $10,000 (or that aggregate over $10,000 in a business day). Fill in the details and the AI prepares a complete, FinCEN-compliant CTR summary plus an aggregation check.

Institution & Person

Institution Name

Person / Entity Conducting Transaction

Account Number

Conducted On Behalf Of (if different)

Cash Transaction Details

Transaction Date

Cash In (deposits/payments)

Cash Out (withdrawals)

Number of Transactions That Day

Branch(es) Involved

Multiple Transactions Aggregated?

Notes (anything unusual or relevant)

Is This Reportable?

Quick guidance — describe the situation, get an instant read on CTR, SAR, or structuring

Instant Guidance

For the judgment calls that come up daily at the teller line and back office. Describe what you're seeing and get a fast, plain-English read on whether it triggers a filing. This is guidance, not a final determination — your BSA Officer makes the call.

Question Type

Transaction Form

Describe the Situation

Notice Generator

Draft clear, compliant customer/member notices — documentation requests, account reviews, and more

AI-Powered

Generate plain-language, professional notices for common compliance situations. The AI writes a courteous, compliant letter you can copy and adapt. Never include the customer's private details you wouldn't want retained — this clears when you close the tab.

Notice Type

Recipient Type

Institution Name

Tone

Specifics to Include (optional)

Deadline Tracker

Track your compliance deadlines — SARs, CTRs, exams, risk assessments and more

Saved On This Device

Add your key compliance deadlines and the tracker counts down to each one. 🔒 Saved on this device only — nothing is sent to our servers. Reference deadlines are pre-loaded; add your own below.

Add a Deadline

What's due?

Due Date

Standard Compliance Deadlines (reference)

Your Tracked Deadlines

314(a) & 314(b) Guidance

FinCEN information-sharing programs — what they are, how to comply, and common mistakes

AI Guidance

Section 314(a) and 314(b) of the USA PATRIOT Act govern information sharing between FinCEN, law enforcement, and financial institutions. These are areas institutions frequently get wrong. Pick a topic for plain-English guidance, or ask your own question.

Or ask your own 314(a)/(b) question

Compliance Glossary

Plain-English definitions of banking, finance, BSA/AML, compliance & fraud terms — search or browse

Reference

Can't find a term? Ask the AI Assistant and it will explain it in context. 🛡️ Definitions are for general understanding — always confirm specifics against current regulation.