2013 Mandatory Compliance Series
Receive this Series of 6 webinars for the price of 5! Offer ended 7/31/13.

Fulfill your compliance training requirements for all credit union staff with this series of 6 webinars!

This series is the answer to all your required compliance training needs. By having various staff members attend these sessions, you will have your compliance bases covered. In addition, training documentation tools are also provided. This documentation will be very valuable when examiners come to call. This series allows you to educate your entire staff for one price.

Lack of adequate compliance training for appropriate personnel is the number one reason that financial institutions receive lower compliance ratings from examiners. Because regulations require that different positions have different training, staff need not attend all sessions. The matrix below will help determine which staff members are required to receive each of these sessions.

You may register for the entire series or for individual sessions. By signing up for the entire series, you will receive 6 webinars for the price of 5. A simple, economical solution to your compliance training needs.

Valuable Training Documentation Tools Provided

This training series will include the following items so solid documentation can be provided to examiners:

  • Letter of attendance certification
  • Electronic training log and webinar outline
  • Quiz you can administer to measure staff learning and a separate answer key

Who Needs What Required Training?

Mandatory Compliance Series Topics

Frontline Personnel

Operations Personnel

Lending Personnel

Board & Sr. Management

Compliance Rules the Board &
Senior Management Must Know

1/31/13

Compliance Rules the Frontline Must Know

4/9/13

Compliance Rules Lenders Must Know

6/5/13

Compliance Rules All Staff Must Know:
Red Flags for ID Theft, Bribery & Privacy

7/23/13

7/23/13

7/23/13

Compliance Rules Deposit Operations Must Know

9/18/13

A Fresh Look at Robbery Preparedness

12/4/13

12/4/13

12/4/13

12/4/13

Session Dates & Descriptions

12:00 pm – 1:30 pm Pacific
1:00 pm – 2:30 pm Mountain
2:00 pm – 3:30 pm Central
3:00 pm – 4:30 pm Eastern

Click on presenters’ names below for more information.

January 31, 2013
Compliance Rules the Board & Senior Management Must Know

Ann Brode, Brode Consulting Services, Inc.

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!

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April 9, 2013
Compliance Rules the Frontline Must Know

Ann Brode, Brode Consulting Services, Inc.

Having knowledgeable frontline employees is imperative to any strong financial institution. They must know how to balance the demands of providing outstanding service with regulatory requirements and prudent operating procedures. This webinar is designed to refresh and update the frontline on important regulatory issues, recent or pending changes, and penalties for noncompliance. Regulation D, CC, TISA, Regulation E, and BSA will be addressed. This will be a fast-paced update that will ensure your financial institution is in compliance with annual training requirements.

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June 5, 2013
Compliance Rules Lenders Must Know

Susan Costonis, Compliance Consulting and Training for Financial Institutions

The pace of changes in lending regulations is unprecedented. Do you know which regulations require annual training? What regulations have been changed by the Consumer Financial Protection Bureau because of the Dodd-Frank Financial Reform Act? Which regulations cause the most frequent problems in passing compliance exams? What should lenders understand about money laundering and suspicious activity in the loan process? Compliance training for lenders is no longer “optional” and it can save money. Flood insurance violations have increased to $2,000 per incident with NO annual limit. HMDA data accuracy issues continue to cause civil money penalties and fair lending remains an exam focus with regulators. This session will cover most of the regulations lenders must follow and outlines many specific disclosures and timing requirements. This webinar will cover everything from Regulation B to Z. Attendees will receive checklists and guidance to help lending staff work smarter, not harder.

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July 23, 2013
Compliance Rules All Staff Must Know: Red Flags for ID Theft, Bribery & Privacy

Ann Brode, Brode Consulting Services, Inc.

Perpetrators just keep getting smarter and craftier! Red Flags for Identity Theft, the Bribery Act and the Privacy Act require regular training for ALL employees. Examiners report that they are not seeing sufficient training in these areas. This session will cover the specific types of identity theft that staff may encounter – from lending to frontline to operations. In addition, you’ll learn about bribery technical requirements that should be included in policies and procedures. The section on privacy will provide “common sense” information regarding everyday handling of consumer information.

The materials will include training tools and useful resources for monitoring and effectively managing compliance. This session will cover these three areas in enough depth to fulfill training requirements and arm your staff with the necessary information to ensure successful regulator review.

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September 18, 2013
Compliance Rules Deposit Operations Must Know

Ann Brode, Brode Consulting Services, Inc.

Many regulations require regular training. This webinar will concentrate on the regulations that affect deposit operations, including funds-availability check holds, CIP documentation, CTRs, BSA, Regulation E claims, and more. It will also address common errors in deposit operations, BSA compliance and operational consideration for Regulations CC, D, DD, and E. This webinar will ensure that deposit operations employees fulfill their training requirement for these regulations.

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December 4, 2013
A Fresh Look at Robbery Preparedness

Barry Thompson, Thompson Consulting Group, LLC

NCUA Regulation Part 748 requires credit unions to have a written security program designed to protect themselves against robberies, burglaries, larcenies, and embezzlement. Today financial institutions encounter a number of threats including:

  • Opening procedures that get thwarted by people who arrive two hours early, which causes problems for the opening team
  • Closing procedures that are often overlooked can cause the financial institution to become a robbery target

The FBI has developed a new program titled, “Bandit Shield” that is being used extensively in Texas. It stresses the fundamentals of protecting the financial institution. This webinar will review what the FBI has successfully established in Texas and provide a fresh look at the robbery equation.

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