Aug 30

Compliance Series:
Regulatory Requirements for the Board & Senior Management

Registration Options & Pricing

Please select your membership status.

Recorded Webinar Includes

  • Recording of the Live Webinar
  • Available 6 business days following Live date
  • Available for 6 months following Live
  • Handout and Take-Away Toolkit
  • Available on Desktop, Mobile & Tablet
  • Free Digital Download, yours to keep
  • Share link with anyone at your credit union
  • Presenter’s contact info for follow-up

9:00 am – 10:30 am HST
12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET

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.

Continuing Education:   Attendance verification for CE credits upon request

Save with this series!


  • 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.


NOTE:  All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your financial institution is prohibited. Print materials may be copied for eligible participants only.


Brode Consulting Services, Inc.
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