Email to Order the Recording + Free Digital Download
Do you need practical guidance for a risk-based deposit compliance audit program? While deposit regulations haven’t changed as rapidly as lending regulations, there are still potential areas of exposure for Reg DD (Truth in Savings) violations and reimbursement, Reg E error resolution and ODP issues, and the constant threat of consumer complaints and UDAAP challenges for deposit products and services.
This webinar will address how to develop a dynamic, risk-based deposit audit program that can prevent potential violations and protect your financial institution’s reputation. Learn which deposit regulations apply, how to maximize limited time and resources, and how to implement effective corrective action. This session will explain how to use risk-assessment tools, develop a testing schedule, and determine the sample size for transaction testing. It will also address critical elements for testing key deposit regulations, writing audit reports, and many practical tips for a successful deposit compliance program.
HIGHLIGHTS
Top 10 mistakes in deposit compliance exams
Overview of the disclosure requirements for Truth in Savings and Regulation E
Best practices for deposit compliance
Analysis of recent deposit-related enforcement actions and tips to avoid the pitfalls
TAKE-AWAY TOOLKIT
Checklist for advertising reviews
Matrix of training topics for frontline and deposit operation staff
Complaint policy template in Word that can be customized for your use
Regulation E error resolution flowchart
Regulation E opt-in checklist
CIP procedures quick reference guide
Summary of recent deposit related regulatory changes and resources
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? Compliance officers, audit staff, risk managers, call center managers, senior management, deposit operations managers, new account representatives, and customer service representatives.
ABOUT THE PRESENTER – Susan Costonis, Compliance Consulting and Training for FIs, is a compliance consultant and trainer who began her career in 1978. She specializes in compliance management along with deposit and lending regulatory training. Susan has successfully managed compliance programs and exams for institutions that ranged from a community bank to large multi-state bank holding companies. She has been a compliance officer for institutions supervised by the OCC, FDIC, and Federal Reserve. Susan has been a Certified Regulatory Compliance Manager since 1998, completed the ABA Graduate Compliance School, and graduated from the University of Akron and the Graduate Banking School of the University of Colorado. She regularly presents to financial institution audiences in several states and “translates” complex regulations into simple concepts by using humor and real life examples.
Showing posts with label Audit Compliance Series. Show all posts
Showing posts with label Audit Compliance Series. Show all posts
(ON DEMAND) Audit Compliance Series: Auditing for BSA Compliance
Email to order the Archived Webinar + Free Digital Download
BSA is comprised of four pillars:
Designated BSA officer
Development of internal policies, procedures, and controls
Annual training of all employees and the board
Independent testing and review
This webinar will provide the necessary tools to address the fourth pillar. Do you understand the scope and procedures necessary to ensure a comprehensive, risk-based audit program? This webinar will ensure your BSA audit is comprehensive and meets regulatory guidelines (whether you are conducting the audit or are the BSA officer monitoring whether a strong audit is performed).
This webinar will include resources to effectively test the adequacy of your BSA program. It will include a review of your BSA risk assessment and risk profile, the adequacy of the identification of higher-risk accountholders and transactions, and transaction testing of monitoring systems.
HIGHLIGHTS
How to get started with an audit game plan – from the examiners’ viewpoint
Making the audit risk-based
How to test down to the transaction level – including different transactional testing checklists
Determining whether your anti-money laundering program is adequate
What and how to report to the board
Handling third-party BSA audits
TAKE-AWAY TOOLKIT
BSA policy checklist
Sample BSA request memo
Transactional testing checklists for CIP, CTRs, cash aggregation, higher-risk accountholders, information sharing 314(a) & 314(b), funds transfers, SARs, privately-owned ATMs
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? BSA officers, compliance officers, senior management, and internal staff who conduct audits
ABOUT THE PRESENTER – Ann Brode-Harner, Brode Consulting Services, Inc., began her career in 1973 and has continued her service as a consultant to regional and community financial institutions through a wide range of areas including strategic planning, lending, deposits, marketing, training, compliance, and management. Ann is a well-respected presenter and has spoken to audiences across the country for over 25 years. She has presented sessions for numerous state associations and has taught at the School of Banking Administration at the University of Wisconsin as well as many other state banking schools. Ann is the author of “The Bank Deposit Documentation Manual for Front-Line Personnel” published by Bankers Publishing Company, and is well represented in numerous industry publications.
BSA is comprised of four pillars:
Designated BSA officer
Development of internal policies, procedures, and controls
Annual training of all employees and the board
Independent testing and review
This webinar will provide the necessary tools to address the fourth pillar. Do you understand the scope and procedures necessary to ensure a comprehensive, risk-based audit program? This webinar will ensure your BSA audit is comprehensive and meets regulatory guidelines (whether you are conducting the audit or are the BSA officer monitoring whether a strong audit is performed).
This webinar will include resources to effectively test the adequacy of your BSA program. It will include a review of your BSA risk assessment and risk profile, the adequacy of the identification of higher-risk accountholders and transactions, and transaction testing of monitoring systems.
HIGHLIGHTS
How to get started with an audit game plan – from the examiners’ viewpoint
Making the audit risk-based
How to test down to the transaction level – including different transactional testing checklists
Determining whether your anti-money laundering program is adequate
What and how to report to the board
Handling third-party BSA audits
TAKE-AWAY TOOLKIT
BSA policy checklist
Sample BSA request memo
Transactional testing checklists for CIP, CTRs, cash aggregation, higher-risk accountholders, information sharing 314(a) & 314(b), funds transfers, SARs, privately-owned ATMs
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? BSA officers, compliance officers, senior management, and internal staff who conduct audits
ABOUT THE PRESENTER – Ann Brode-Harner, Brode Consulting Services, Inc., began her career in 1973 and has continued her service as a consultant to regional and community financial institutions through a wide range of areas including strategic planning, lending, deposits, marketing, training, compliance, and management. Ann is a well-respected presenter and has spoken to audiences across the country for over 25 years. She has presented sessions for numerous state associations and has taught at the School of Banking Administration at the University of Wisconsin as well as many other state banking schools. Ann is the author of “The Bank Deposit Documentation Manual for Front-Line Personnel” published by Bankers Publishing Company, and is well represented in numerous industry publications.
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