Frontline Compliance Fundamentals

Webinar: ID# 1011957
Recorded CD
Frontline Compliance Fundamentals
About This Course:
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
    • Disclosures
    • Advertising
  • Regulation E – Account Opening Personnel
    • Disclosures
  • Regulation CC – Account Opening Personnel/Tellers
    • Disclosures
    • Check Cashing
  • Nondeposit Investment Products – All Personnel
    • What You Can and Cannot Do

III. Loan Fundamentals – Loan Personnel

  • Equal Credit Opportunity Act – All Personnel
    • Womb to Tomb Coverage
  • 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
    • Advertising
    • Disclosures
    • Compensation

IV. Customer Service – All Personnel

  • Unfair Deceptive or Abusive Acts and Practices
  • Complaints
  • Legal Issues
  • Social Media

The Presenter

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.

Frontline Compliance Fundamentals
Available on CD format
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