Tuesday, March 10, 2020
2:00 – 3:30 pm (Eastern Time)
1:00 – 2:30 pm (Central Time)
12:00 – 1:30 pm (Mountain Time)
11:00 – 12:30 pm (Pacific Time)
Did you know that one “simple” transaction-a deposit of some cash and a few checks into a checking account-can be governed by at least seven regulations or Acts? Those on the frontline are responsible for placing appropriate holds on funds, providing accurate disclosures in a timely manner and identifying and reporting suspicious activity all while providing outstanding service.
In this informative compliance webinar training, we will tailor our review of compliance regulations to focus on the specific requirements and guidelines that effect your role and responsibilities as a member of the frontline. We will discuss common account transactions and pull in the specific regulations that touch that type of transaction.
In addition, you will be provided with helpful tools you can utilize in your daily routine to guide you through regulatory requirements, aid in identifying red flags and assist in answering accountholder questions. Those new to the frontline as well as those seasoned staff members looking to meet their annual training requirements will not want to miss this jam-packed, fast-paced session!
- Bank Secrecy Act: Review coverage of transactions triggering a CTR and the information that must be obtained as well as reporting suspicious activity.
- Regulation D: Its effect on various account types
- Regulation E: Important issues on error resolution and how to handle stop payments.
- Regulation CC: Examples of exception and case-by-case holds.
- Regulation P: Important privacy issues for customers
- Identity Theft Prevention & Recognizing Elder Financial Abuse: Recognizing red flags and knowing when to report.
- Discrimination: Best practices to avoid discrimination in lending in those initial conversations with prospective borrowers.
- UDAAP: Fair treatment in account recommendations and waiving of fees as well as consumer complaints
- Truth in Savings: Understanding when and how to provide disclosures.
Dawn began her banking career working for a community bank, while attending The Ohio State University. She has nearly fifteen years of experience in client service, operations, information technology, administrative and board relations, marketing and compliance. Most recently Dawn served as the Senior Vice President of Bank Operations for a central-Ohio based community bank, where she created and refined the bank’s policies and procedures, conducted self-audits and risk assessments, and organized implementation of new products and services. She has served in the roles of Compliance, BSA/AML, CRA, Privacy and Security Officer and led training initiatives, prepared due diligence information for and completed a variety of regulatory applications and coordinated internal and external audits and exams.
1.5 CPE Credits