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Regulatory Compliance for the Frontline, Including BSA (Required Compliance Series)

Date: June 18, 2014

Time: 3:00pm - 4:30pm

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Wednesday, June 18, 2014

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

Being on the frontline requires more than just unlocking your teller drawer and waiting for accountholders and applicants to show up. There are abundant laws and regulations requiring you to: provide certain disclosures within specific timeframes; handle inquiries, complaints, and errors in a timely fashion; and take certain actions as required by law, rule, or regulation (such as filing CTRs or SARs). The alphabet soup of consumer compliance regulations, along with other specific regulations aimed at the financial industry, can be confusing. This webinar is designed to drill down to the essential components that must be followed daily.

Continuing Education: Attendance verification for CE credits upon request

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  • Disclosures that must be provided at account opening
  • Actions to take when a claim of unauthorized electronic transaction is made
  • Rights and liabilities when handling checks for deposit
  • Acquire a basic understanding of consumer compliance requirements
  • The basis for many policies and procedures
  • Job-specific annual BSA requirements
    • Alphabet soup descriptions of all frontline laws and regulations
    • Mini checklist for accepting checks and Reg E error resolution requirements
    • Letter of attendance certification with webinar outline
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key


This informative session is directed to all frontline member service personnel, including new accounts staff, tellers, member service representatives, frontline supervisors, branch managers, and share draft, ACH, and debit/ATM card processors.