Dates of Event & Pricing

$295 for Webinar and Playback*

*Playback has no expiration

  • Tuesday, June 29, 2021

  • 12:00 – 1:00 pm (Eastern Time)

  • 11:00 – 12:00 pm (Central Time)

  • 10:00 – 11:00 am (Mountain Time)

  • 9:00 – 10:00 am (Pacific Time)


We rely on third party service providers and other financial institutions for products and services either to enhance the services performed in-house or to offer services that are otherwise not cost effective. Outsourcing comes with risks, which may be realized in a different manner than if the functions were in-house resulting in the need for controls designed to monitor such risks as loss of funds, loss of competitive advantage, damaged reputation, improper disclosure of information and regulatory action. The decision to outsource should fit into your bank’s overall strategic plan and corporate objectives. 

Join us for this informative session where will discuss the initial and ongoing due diligence and provide you with loads of tools to help guide you through the vendor management process.

Learning Objectives: 

  • Understanding Regulatory Requirements- A review of FFIEC Guidance and GLBA 501(b) requirements for third party oversight 
  • Identifying Critical Vendors – How to identify and establish your bank’s critical vendors and the due diligence process required for them. 
  • Developing a Vendor Risk Assessment- A review of a sample vendor risk assessment will be utilized to discuss risk factors and internal controls to mitigate vendor risks to your bank. 
  • Contract Review Components – Overview of what examiners expect to see in your vendor contracts and best practices for tracking contract terms and expiration dates.
  • Ongoing Monitoring and Due Diligence - A thorough discussion of how to properly maintain up-to-date due diligence files and ensure your vendors are meeting the terms of their agreements.

Who Should Attend? 

This informative session is designed for Risk Managers, Compliance Officers, Information Security Officers and any other individual responsible for vendor management due diligence.  


  • Dawn Kincaid

    Dawn Kincaid

    Compliance Consultant - Brode Consulting Services

    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.


1.0 CPE Credits