Events Calendar

Webinar - Compliance Series: Regulatory Requirements for the Board & Senior Management
Thursday, August 30, 2018, 03:00pm - 04:30pm

As a director or senior manager, you are responsible for demonstrating a top-down compliance culture and establishing a strong compliance management system. However, navigating existing rules, new regulations, and proposed amendments can be overwhelming. This session will explain your regulatory responsibilities and liabilities and provide the information needed to adequately oversee your institution’s compliance program. Join us to learn the high-risk areas, required training topics, and how to make informed compliance decisions and prepare for the next regulatory exam.


  • Bank Secrecy Act responsibilities for your institution’s programs, including new CDD rule compliance
  • Fair lending review responsibilities and how to avoid violations
  • Insider lending rules to know before your next Loan Committee meeting
  • How UDAAP affects all areas of your institution
  • Compliance program management: how to review and respond to compliance reports, audits, and exams
  • Exam follow-up: effectively managing and responding to examination findings
  • Compliance hot buttons: elder financial exploitation, human trafficking/smuggling, and cybersecurity
    • Customer/member due diligence rules fact sheet
    • Sample quarterly BSA board report
    • Sample policy review schedule
    • Sample audit/examination finding tracking log
    • Regulation summary for directors
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key


This informative session is designed for directors, management, compliance officers, and auditors.

SPEAKER:  Dawn Kincaid, Brode Consulting Services, Inc.

Dawn Kincaid began her banking career while attending The Ohio State University. She has 17 years’ experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Dawn served as the Senior Vice President of Operations for a central-Ohio-based community bank, where she created and refined policies and procedures, conducted self-audits and risk assessments, and organized implementation of new products and services. Dawn has served in the roles of Compliance, BSA/AML, CRA, Privacy, and Security Officer. She has led training initiatives, prepared due diligence information, completed a variety of regulatory applications, and coordinated internal and external audits and exams.

Register Here