> Webinar: Simplifying the Compliance Function: Tools, Checklists & Reporting to Keep You on Track

Wednesday, October 30, 2013
3:00 PM Eastern Daylight Time
4:30 PM


With so many new compliance changes on the horizon and examiners’ increased expectations, it can be hard to know where to begin. This webinar is designed to simplify your life and make sense of the compliance function. Join us for ways to streamline the compliance function while continuing to ensure its effectiveness.


  • Refining the framework of the compliance function
  • Getting the most out of your compliance council
  • Tackling new regulatory challenges
  • Communicating effectively with the board and senior management
  • Thinking outside the box when it comes to compliance training


  • Compliance officer development plan
  • Policy update and review schedule
  • Compliance council charter and sample agenda
  • Change-management template
  • Compliance action plan and tracker
  • Issue management tracking report
  • Compliance year-end roundup
  • Board reporting reference guide
  • Tips for effective training
  • Employee training log
  • Quiz you can administer to measure staff learning and a separate answer key

This informative session is designed for new and seasoned compliance officers and senior managers who want to learn how to take the compliance function to the next level, while maintaining efficiency and effectiveness.

ABOUT THE PRESENTERS – Ann Brode & Angela Lucas, 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 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.

In 2003, Angela Lucas began her career as an Associate National Bank Examiner with the OCC, where she was responsible for performing regulatory examinations of nationally-chartered community banks. Her areas of concentration included commercial and retail credit and consumer compliance, with extensive focus on BSA and anti-money laundering. Later, Angela became a compliance examiner at Federated Investors, Inc.

Angela joined Brode Consulting Services in 2009 as a compliance consultant and loan-review specialist. While her focus remains compliance-based, Angela has expanded to training initiatives. Angela has a Bachelor’s in Business Administration from Duquesne University with a dual major in Finance and Investment Management.

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.


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.

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.

*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 mzelinsky@njcul.org and your credit union will be invoiced. To register and pay online, click here.