Required Compliance Series: Regulatory Compliance for the Board & Senior Management

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An effective compliance program begins at the top.  Board and management training is key in a strong compliance program.  It is vital that directors understand the various compliance areas that require their annual review and approval.  This session will cover required training for BSA, fair lending, privacy, and red flags for identity theft.  The board-specific high-risk areas will be addressed in layperson terms.  Issues for financial institutions of all sizes and locales will be included.  This webinar will ensure directors and management understand their responsibilities and liabilities before examiners arrive at the door!

Continuing Education: Attendance verification for CE credits provided upon request.


HIGHLIGHTS
•    BSA – Director responsibilities and liabilities; board reporting and communication required
•    Fair Lending – A recent hot button

•    How can your bank mitigate the risk of any fair lending issues that may surface?
•    Key areas covered during fair lending examinations

•    Privacy Issues – From the board room to every employee, the privacy of customer information is imperative and expected
•    Red Flags for Identity Theft – The specific requirements for board reporting will be covered to ensure the correct information is being presented to the board
•    Administrative Issues for Compliance – Examiners are focusing on the compliance administrative processes throughout the institution, which begins at the board table.  Do you know what is expected?

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 all board members and senior management.  It will be advantageous to have your compliance officer and auditor attend this session with the board in order to answer specific questions about your bank’s program.

MEET THE PRESENTER
Ann Brode,
Brode Consulting Services, Inc.