Frontline Compliance Fundamentals
|Date / Time:
|| Audio Conference|
Learning and understanding basic frontline compliance can be challenging especially in today's dynamic compliance environment. There are several basic concepts to understand before mastering more difficult complex compliance issues. Understanding these building blocks will allow you to maneuver through more complex topics gracefully.
We will explore several key concepts that front line personnel encounter on a daily basis such as essential Bank Secrecy Act requirements for tellers, customer service agents and loan personnel with a tie into basic identity theft prevention. We will highlight deposit account opening basics and discover loan challenges that front line personnel must understand fully. The overall goal of this live audio conference is to teach efficiency through compliance within frontline banking. It promises to not be long-winded or stuffy like compliance can be - it will be as entertaining as possible yet informative!
I. Knowing Your Customer
- Bank Secrecy Act
- Fair Credit Reporting Act
- Identity Theft Prevention
II. Deposit Fundamentals – Deposit Personnel
- Regulation DD – Account Opening Personnel
- Regulation E – Account Opening Personnel
- Regulation CC – Account Opening Personnel/Tellers
- Nondeposit Investment Products – All Personnel
- What You Can and Cannot Do
III. Loan Fundamentals – Loan Personnel
- Equal Credit Opportunity Act – All Personnel
- Fair Credit Reporting Act – Loan Processing Personnel
- Consumer Reports for Consumer and Business Loans
- SAFE Act – Loan Originators
- Registration Requirements for Loan Originators
- Regulation Z and RESPA – Originators/Processors
IV. Customer Service – All Personnel
- Unfair Deceptive or Abusive Acts and Practices
- Legal Issues
- Social Media
Catherine J. Livingston, FIS Regulatory Advisory Services
- Director of compliance for FIS Regulatory Advisory Services, a group within the enterprise risk, governance and compliance division of FIS
- Recognized expert in the field of regulatory compliance
- Frequent speaker at compliance schools, compliance conferences and other industry seminars for banks and credit unions
- Has also taught examiners, including those of the CFPB and the FDIC
- Editor of the Big Orange Book, the leading compliance manual for compliance professionals, The Big Orange Book is renowned for its simplicity and widespread use among bankers and lawyers alike
Who Should Attend
This live audio conference is designed for tellers, personal bankers, business bankers, presidents, vice presidents, branch managers, loan officers, loan department personnel, credit and collection managers, controllers, directors, accountants, real estate professionals and attorneys.
Cannot Attend The Live Presentation?
This presentation is also available in a recorded format, in CD version, as shown in the pricing options below.
|About Webcasts / Audio Conferences / Podcasts:|
Webcasts, audio conferences, and podcasts are presentations that you
attend via the Internet, phone, or mobile device at a specified date and time for "live" versions, or at your convenience for "recorded" and "On-Demand" versions.
versions are interactive, meaning that participants can ask questions in real time, plus are a very cost-effective form of training because 1) you receive fast, convenient learning without
any out-of-office time; 2) you can invite as many colleagues as you'd like to listen in on a single phone line; 3) you incur no travel expenses; and 4) you and your colleagues are back
at work immediately after the session ends!
And though with recorded versions you do lose the ability to ask questions, you gain the ability to hear the presentation numerous
times and to share it with others in your office.
Handout materials and the phone number for live presentations are made available to you prior to the event via email from the
presenter and from the "MyAccount" link on the menu bar. Copies of the presentations are included with recorded versions.
|Licenses / Designations / Educational Credits:||CPE|
All US States: 1.5
|About The Provider:
||Lorman Education Services has provided educational seminars and online training for professionals since 1987.
Since then, we've kept thousands of professionals in the United States and internationally current on the most pressing topics in a rapidly changing marketplace of ideas. Like you, we understand the need for concise, accurate information.
That understanding underlies each Lorman course, presenting the latest information on the laws and regulations critical to your organization's successful daily operations.
Moreover, each course receives our painstaking attention to be certain both the faculty and participants receive the individual attention necessary to achieve maximum benefit from the materials.
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