Do you have a compliance examination looming on the horizon or have you just undergone the process? Recent enforcement actions prove that an effective compliance program begins at the top. A compliance exam report for an institution that did not fare well stated at least a dozen times, “This violation is attributed to inadequate Board and Senior Management oversight, policies, and monitoring procedures.”
Board and management training is key to establishing and maintaining a strong compliance program. It is extremely important for directors to understand the various areas of compliance that require their annual review and approval. This session will provide a list of those areas, with a focus on risk-based compliance management. The high-risk areas will be covered in lay terms, with the board in mind (presenting the information most important to the board). Compliance issues considered high-risk for financial institutions of all sizes and locales will be included. Understand your responsibilities and liabilities before the examiner is at the door!
The board’s responsibilities for your Bank Secrecy Act program
Fair lending issues – a VERY hot button
Red flags for identity theft
Member privacy issues
A checklist of regulations will be provided so directors and management have a useful tool to assist with ongoing training requirements
Preparing the board to respond to regulators after the exam
IMPORTANT TOOLS PROVIDED
This training will include the following items so that you are able to provide solid documentation for examiners:
Letter of attendance certification with webinar outline
Electronic training log
Quiz you can administer to measure staff learning and a password-protected answer key
All registrants will receive the attendance certification and training log, regardless of whether they attend the live or archived version.
WHO SHOULD ATTEND?
This informative session is designed for directors, management, compliance officers, and auditors.
ABOUT THE PRESENTER – Ann Brode, Brode Consulting Services, Inc.
Ann Brode 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 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.
PLEASE NOTE: Your registration fee allows you to have one telephone connection. However, as many people as you like may listen from your office speaker phone. If you register for the webinar, your registration fee also includes one internet connection from a single computer terminal.
THREE REGISTRATION OPTIONS
1. LIVE WEBINAR
The LIVE WEBINAR option allows you to have one telephone connection for the audio portion and one Internet connection (from a single computer terminal) to view online visuals as the presentation is delivered. You may have as many people as you like listen from your office speaker phone. Registrants receive a toll-free number and pass code that will allow entrance to the seminar. The session will be approximately 90 minutes, including question and answer sessions. Seminar materials, including instructions, pin number, and handouts will be emailed to you prior to the broadcast. You will need the most current version of Adobe Reader available free at www.adobe.com.
2. ON-DEMAND WEB LINK** AND FREE CD ROM*
Can't attend the live webinar? The ON-DEMAND WEB LINK** is a recording of the live event including audio, visuals, and handouts. We even provide the presenter's email address so you may ask follow-up questions. Approximately 1 week prior to the webinar, you will receive an email with the web link. This web link can be viewed anytime 24/7, beginning 6 business days AFTER the webinar and will expire 6 months after the live program date. But there's more . . . AS AN ADDED BONUS, you will also receive a FREE audio/visual CD ROM.* The CD ROM includes the original audio/visual presentation, the question and answer sessions, and the handouts. Use the on-demand link or this "off-the-shelf" training program for those that could not attend the live seminar and for future training.
3. BOTH LIVE WEBINAR AND ON-DEMAND WEB LINK** (INCLUDES FREE CD-ROM*) Includes options 1 and 2 above
*CD Rom for PC use only
**All materials are subject to copyright and intended for your credit union's use only.
NEW! Listen on your iPad, iPhone, or Android. Instructions will be emailed to you with the on-demand link.
$199.00 Webinar per connection
$199.00 Archived On-Demand Web Link & Free CD ROM
$249.00 Both Live Webinar & Archived On-Demand Web Link & Free CD ROM
TIME: 3:00 p.m. - 4:30 p.m.
To register and pay by check, email Mary Zelinsky at email@example.com and your credit union will be invoiced. To register and pay online, click here.