This is a 90-minute webinar.
Regulations govern all financial institution activities. As a frontline employee, you need to be aware of many regulations and understand your role in compliance. Join us for a broad overview of the important regulations, why we have them, and what happens if your institution is not in compliance.
In addition to the broad regulatory overview, you will be introduced to the most common regulations affecting the frontline, including Regulation CC, BSA, and red flags for identity theft. Finally, the importance of ethics and confidentiality will be stressed. This is a perfect session to initiate new employees into the world of financial regulations. (Note: Regulatory information covered in this webinar will be an introduction only and will not detail all aspects of each regulation.)
Attendance certificate provided to self-report CE credits.
- A to Z (and more) of regulations
- What is an audit? What is an exam?
- Nuts and bolts of a compliance exam, including the role of examiners
- Risks and costs of noncompliance
- Bank Secrecy Act and anti-money laundering
- Regulation CC and deposit holds
- Red flags for identity theft
- Ethics and confidentiality
- TAKE-AWAY TOOLKIT
- Cheat sheet of regulations
- Regulation CC quick reference guide
- List of common identity theft transactions and scams
- Employee training log
- Quiz you can administer to measure staff learning and a separate answer key
WHO SHOULD ATTEND?
This informative session is directed to new frontline employees and will provide a basic understanding of the world of regulations and compliance that affect financial institutions.
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.