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From accurate, timely disclosures, to placing holds on funds, to identifying and reporting suspicious activity, compliance requirements affect every frontline transaction. Is your staff prepared and knowledgeable? How well will they meet examiners’ expectations?
This session will cover key guidelines and requirements for frontline personnel and provide specific tools to ensure compliance with important consumer regulations. Join us to learn about different account transactions and the specific regulations related to each.
HIGHLIGHTS
BSA and identity theft prevention
Recognizing red flags and reporting suspicious activity
Transactions triggering a CTR and common errors
Regulation D – its effect on various account types
Regulation E – important issues on error resolution and how to handle stop payments
Regulation P – privacy issues for consumers
Discrimination – best practices to avoid lending discrimination during initial conversations with prospective borrowers
UDAAP – fair treatment in account recommendations, fee waivers, and consumer complaints
Truth in Savings – when and how to provide disclosures
Regulation CC – cheat sheet for placing holds and common errors
TAKE-AWAY TOOLKIT
Workflows of sample transactions and the compliance regulations involved at each step
Sample suspicious activity incident report
Regulation D reference sheet
Regulation CC hold chart
Consumer complaint log
Employee training log
Quiz you can administer to measure staff learning and a separate answer key
Attendance verification for CE credits provided upon request.
WHO SHOULD ATTEND? Frontline staff, new accounts personnel, and branch management.
ABOUT THE PRESENTER – Dawn Kincaid, Brode Consulting Services, Inc., began her banking career while attending Ohio State University. She has fifteen years’ experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Dawn served as the Senior Vice President of Operations for a central-Ohio-based community bank, where she created and refined policies and procedures, conducted self-audits and risk assessments, and organized implementation of new products and services. Dawn has served in the roles of Compliance, BSA/AML, CRA, Privacy, and Security Officer. She has led training initiatives, prepared due diligence information, completed a variety of regulatory applications, and coordinated internal and external audits and exams.
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