Webinar: Compliance Officers: Advanced Deposit & Consumer Compliance Training
February 22, 2023 3:00 pm - 4:30 pm
Effective compliance officers touch nearly every department and program.
To do their jobs well, a vast amount of information needs to be in their heads and at their fingertips. This webinar will provide more advanced compliance training to further hone their skills and fill their toolbox.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
- Understand deposit and consumer compliance fundamentals and more complex elements of the regulations
- Respond appropriately to audit and exam findings
- Prepare your program and staff for regulatory hot buttons
- Establish an effective training program
- Effectively report compliance matters to the board
- Incorporate best practices and provided tools into your compliance program
WEBINAR DETAILS
Compliance officers wear many hats. Each day they must manage piles of regulations, guidance, and monitoring reports to protect against compliance violations and avoid practices that could result in consumer harm. This jam-packed session will go beyond the basics of the consumer regulation requirements and provide resources and tools to strengthen and enhance your compliance program. Join us to explore the more complex elements of the key deposit and consumer compliance regulations.
WHO SHOULD ATTEND?
This informative session is designed for deposit operations personnel, branch managers, and compliance officers.
TAKE-AWAY TOOLKIT
- Sample policy review schedule
- Sample year-end compliance checklist
- Sample audit/exam finding tracking log
- Many more sample forms, guides, and checklists to meet consumer regulatory requirements
- Employee training log
- Interactive quiz
- PDF of slides and speaker’s contact info for follow-up questions
- Attendance certificate provided to self-report CE credits
Speaker: Dawn Kincaid, Brode Consulting Services, Inc.
Dawn Kincaid began her banking career while attending The Ohio State University. She has over 20 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, coordinated internal and external audits and exams, and presented for numerous state associations.