Webinar: Compliance Rules the Board & Senior Management Must Know
It is extremely important for directors and senior managers to understand the areas of compliance that require annual review and approval. This webinar will review 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. Live and on-demand participants will receive attendance certification, an electronic training log and a staff quiz with a password-protected answer key.
About This Session:
This webinar will cover the following topics:
- The board's responsibilities for the Bank Secrecy Act program
- Fair lending issues - a VERY hot button
- Regulation O - insider lending
- Red flags for identity theft
- Member privacy issues
- A checklist of regulations to assist with ongoing training requirements
- Preparing the board to respond to regulators after the exam
Who Should Participate:
Directors, management, compliance officers and auditors.
About the Presenter:
Ann Brode, Brode Consulting Services, Inc.
With nearly 40 years of experience, Ann Brode serves as a consultant to regional and community financial institutions in a wide range of areas, including strategic planning, lending, deposits, marketing, training, compliance and management. 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. Brode is the author of The Bank Deposit Documentation Manual for Front-Line Personnel and is well-represented in numerous industry publications.