Nov 21

Director Series:
Required Compliance for the Board & Senior Management

Registration Options & Pricing

Please select your membership status.

Recorded Webinar Includes

  • Recording of the Live Webinar
  • Available 6 business days following Live date
  • Available for 6 months following Live
  • Handout and Take-Away Toolkit
  • Available on Desktop, Mobile & Tablet
  • Free Digital Download, yours to keep
  • Share link with anyone at your bank
  • Presenter’s contact info for follow-up

Tuesday, November 21, 2017

8:00 am – 9:30 am PT
9:00 am – 10:30 am MT
10:00 am – 11:30 am CT
11:00 am – 12:30 pm ET

Directors and senior management are responsible for forming a top-down compliance culture and establishing a strong compliance management system. The responsibility for regulatory compliance ultimately lies with the board. However, with dozens of regulations, thousands of pages of guidance and best practices, and new changes on the horizon, determining exactly what is required of you and your institution can be overwhelming.

This session will help you understand your regulatory responsibilities and liabilities. It will review the highest-risk areas and explain which information and reports need to be reviewed periodically to make informed compliance program decisions. Join us for this webinar to meet your annual training requirements!

Continuing Education: Attendance verification for CE credits upon request


  • Bank Secrecy Act and identity theft prevention
    • Overview of board responsibilities
    • Recent enforcement actions and how to avoid them
    • 2018 CDD rules overview and action plan
    • Human trafficking: reporting responsibilities
  • Fair lending current issues
  • Regulation O (insider lending) – requirements and limits
  • Identity theft red flags – best practices for identifying and reporting, cybersecurity, CATO, and wire fraud
  • Privacy rules and best practices
  • Community Reinvestment Act responsibilities
  • UDAAP – preventing consumer harm, tracking, and responding to consumer complaints
  • Vendor management
  • Compliance management system
    • What to expect at the next compliance exam and how to respond to findings
    • Review of updated rating system

    • Sample policy review schedule
    • Regulation summary for directors
    • Human trafficking and human smuggling red flags
    • Consumer complaint log
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key


This informative session is designed for directors, management, compliance officers, and auditors.

PLEASE NOTE: Program content is subject to copyright and intended for your individual financial institution’s use only.


Brode Consulting Services, Inc.
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