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Required Compliance for the Board & Senior Management, Including BSA (Required Compliance Series)

Date: January 29, 2014

Time: 3:00pm - 4:30pm

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Directors and senior management are ultimately responsible (and liable) for ensuring the financial institution has an effective compliance program. Board and management training is a key component in establishing and maintaining a strong compliance program. It is vital that directors understand the various compliance areas that require their annual review and approval.

This session will provide a list of those areas, with a focus on risk-based compliance management – including required training for Bank Secrecy Act. The high-risk areas will be covered in lay terms, with the board in mind (presenting the information most important to the board). Understand your responsibilities and liabilities before the examiner is at the door!

Continuing Education: Attendance verification for CE credits upon request

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HIGHLIGHTS

  • BSA – Director responsibilities and liabilities; board reporting and communication required
  • Fair Lending – An ongoing hot button
    • How to mitigate the risk of any fair lending issues that may surface
    • Key areas covered during fair lending examinations.
  • Privacy – From the board room to every employee, the privacy of consumer information is imperative and expected
  • Red Flags for Identity Theft – Specific requirements for board reporting will be covered to ensure the correct information is being presented to the board.
  • Administrative Issues for Compliance – Examiners are focusing on the compliance administrative processes throughout the institution, which begins at the board table.  Do you know what is expected?
  • TAKE-AWAY TOOLKIT
    • Regulations checklist for directors and management – a useful reference tool to help with ongoing training requirements
    • Letter of attendance certification with webinar outline
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key

WHO SHOULD ATTEND?

This informative session is designed for directors, management, compliance officers, and auditors.