(ON DEMAND) Essential Compliance Training for the Board & Senior Management

Email to order the Recording + Free Digital Download

Responsibility for regulatory compliance ultimately rests with the board. Compliance is no longer an area directors and senior management can be passive about. But weeding through thousands of pages of guidance can be daunting – especially to those new to the industry.

This webinar will help you understand your responsibilities and liabilities before the examiner is at the door. It will address the high-risk areas in lay terms with the board in mind (meaning just the information most important to you) and cover your required annual training.

HIGHLIGHTS
Board’s responsibilities for your institution’s Bank Secrecy Act and identity theft prevention programs
Fair Lending current issues
Regulation O (Insider Lending) requirements and limits
Privacy rules and best practices
Community Reinvestment Act
UDAAP and examiner focus on preventing consumer harm
Exam follow-up – how to prepare the board to respond to regulators

TAKE-AWAY TOOLKIT
Sample policy review schedule
Regulation summary for directors
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? Directors, senior management, compliance officers, and auditors.

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.