2018 Compliance Series
Whether you are a lender, a retail banker, senior manager, or a director,
this series of 6 informative webinars has something for everyone!
Purchase Webinars Individually or Purchase the Series to
Get All 6 Webinars for the Price of 5!
Compliance touches every part of your financial institution. Regardless of your role, it is imperative to learn the necessary, and often confusing, steps to keep yourself and your institution out of the compliance “penalty box.” The 2018 Compliance Series is the perfect training to keep your entire staff and board up-to-date on the most important topics in every area of your organization. Join the industry’s top speakers to hear the latest developments in compliance that affect you and your institution.
Whether you are just getting started or have years of experience, this series has tips, tools, and takeaways for everyone! You may register for the entire series or individual sessions. By signing up for the entire series, you will receive 6 webinars for the price of 5.
- Job-Specific Compliance Training for the Frontline
- Compliance Rules All Staff Must Know: Red Flags for Identity Theft, Bribery, Privacy & Ethical Considerations
- Job-Specific Compliance Training for Lenders
- Regulatory Requirements for the Board & Senior Management
- Job-Specific Compliance Training for Deposit Operations
- Robbery Preparedness: Requirements & Proven Strategies
Session Dates & Descriptions
12:00 pm – 1:30 pm Pacific
1:00 pm – 2:30 pm Mountain
2:00 pm – 3:30 pm Central
3:00 pm – 4:30 pm Eastern
Click on presenters’ names below for more information.
January 31, 2018
Job-Specific Compliance Training for the Frontline
Mary-Lou Heighes, Compliance Plus, Inc.
Frontline staff are the face and voice of your financial institution. Along with processing transactions and assisting accountholders, they have specific policies, procedures, and processes to follow – many of which are designed to comply with legal and regulatory requirements. This webinar will provide the who, what, where, when, and why of the frontline’s tasks and explain how compliance interconnects with specific duties and responsibilities.
April 17, 2018
Compliance Rules All Staff Must Know: Red Flags for Identity Theft, Bribery, Privacy & Ethical Considerations
David A. Reed, Reed & Jolly, PLLC
Every product, service, and delivery method within your financial institution is covered by multiple laws, regulations, and best practices. Your team must understand the requirements and individual responsibilities applicable to each area. In addition to regulatory considerations, consumer protection attorneys look for violations as the basis for lawsuits. This session will focus on red flags for identity theft, bribery, privacy, and ethical issues and will break down each area and the essential compliance rules every staff member must know.
May 30, 2018
Job-Specific Compliance Training for Lenders
Susan Costonis, Compliance Consulting and Training for Financial Institutions
Compliance training is critical for lenders. In addition to existing regulations, many financial institutions are still adjusting to the sweeping HMDA changes that became effective January 1, 2018. BSA requirements for beneficial ownership will begin May 11, 2018, for legal entities. This session will cover key lending compliance areas by job function for consumer, mortgage, and commercial lenders, including the Equal Credit Opportunity Act and flood insurance rules for consumer and commercial structures. It will also outline “Five Reasons Lenders Should Have BSA Training.”
August 28, 2018
Regulatory Requirements for the Board & Senior Management
Dawn Kincaid, Brode Consulting Services, Inc.
As a director or senior manager, you are responsible for demonstrating a top-down compliance culture and establishing a strong compliance management system. However, navigating existing rules, new regulations, and proposed amendments can be overwhelming. This session will explain your regulatory responsibilities and liabilities and provide the information you need to adequately oversee your institution’s compliance program. Join us to learn the high-risk areas, required training topics, and the information needed to make informed compliance decisions and prepare for the next regulatory exam.
October 30, 2018
Job-Specific Compliance Training for Deposit Operations
Molly Stull, Brode Consulting Services, Inc.
Deposit operations staff must comply with dozens of rules and regulations to avoid regulatory scrutiny, fines, and penalties against your institution. This program will go beyond the basics and cover error resolution, excessive withdrawals, and hold requirements – areas that frequently appear in examiners’ consumer compliance reports. In addition, the recent beneficial ownership requirements and changes to the check collection process will be addressed. Deposit operations staff must also watch for internet gambling, monitor for fraud, and ensure deposit accounts are working as described in the disclosures. Attend this important session for a review of the regulations governing deposit operations.
November 27, 2018
Robbery Preparedness: Requirements & Proven Strategies
Carol S. Dodgen, Dodgen Security Consulting, LLC
Robberies occur every day. Your best defense is to have a plan – and practice that plan. This session will address robbery prevention methods, including policies, physical security, and robbery response. You will learn best practices for safely opening and closing your facilities and what robbers are looking for (in their own words). Real-life case studies will be examined to demonstrate what went wrong/right. Attendees will learn life-saving personal safety tips and discover the importance of situational awareness.
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