Looking for additional webinars? Plan ahead and view the 2016 Webinar Schedule.
WEBINAR OR ON-DEMAND WEB LINK
Thursday, November 10, 2016
1:00 p.m. - 2:30 p.m. (AZ/CO/WY)
Do you need practical guidance for a risk-based deposit compliance audit program? While deposit regulations haven’t changed as rapidly as lending regulations, there are still potential areas of exposure for Reg DD (Truth in Savings) violations and reimbursement, Reg E error resolution and ODP issues, and the constant threat of consumer complaints and UDAAP challenges for deposit products and services.
This webinar will address how to develop a dynamic, risk-based deposit audit program that can prevent potential violations and protect your financial institution’s reputation. Learn which deposit regulations apply, how to maximize limited time and resources, and how to implement effective corrective action. This session will explain how to use risk-assessment tools, develop a testing schedule, and determine the sample size for transaction testing. It will also address critical elements for testing key deposit regulations, writing audit reports, and many practical tips for a successful deposit compliance program.
*Top 10 mistakes in deposit compliance exams
*Overview of the disclosure requirements for Truth in Savings and Regulation E
*Best practices for deposit compliance
*Analysis of recent deposit-related enforcement actions and tips to avoid the pitfalls
*Checklist for advertising reviews
*Matrix of training topics for frontline and deposit operation staff
*Complaint policy template in Word that can be customized for your use
*Regulation E error resolution flowchart
*Regulation E opt-in checklist
*CIP procedures quick reference guide
*Summary of recent deposit related regulatory changes and resources
*Employee training log
*Quiz you can administer to measure staff learning and a separate answer key
Attendance verification for CE credits provided upon request.
WHO SHOULD ATTEND?
This informative session will be directed to compliance officers, audit staff, risk managers, call center managers, senior management, deposit operations managers, new account representatives, and member service representatives.
Please note: The live webinar option allows you to have one telephone connection for the audio portion and one Internet connection (from a single computer terminal) to view online visuals as the presentation is delivered. You may have as many people as you like listen from your office speaker phone.
ABOUT THE PRESENTER – Susan Costonis, Compliance Consulting and Training for FIs
Susan Costonis is a compliance consultant and trainer who began her career in 1978. She specializes in compliance management along with deposit and lending regulatory training. Susan has successfully managed compliance programs and exams for institutions that ranged from a community bank to large multi-state bank holding companies. She has been a compliance officer for institutions supervised by the OCC, FDIC, and Federal Reserve. Susan has been a Certified Regulatory Compliance Manager since 1998, completed the ABA Graduate Compliance School, and graduated from the University of Akron and the Graduate Banking School of the University of Colorado. She regularly presents to financial institution audiences in several states and “translates” complex regulations into simple concepts by using humor and real life examples.
THREE REGISTRATION OPTIONS
1. LIVE WEBINAR
The LIVE WEBINAR option allows you to have one telephone connection for the audio portion and one Internet connection (from a single computer terminal) to view online visuals as the presentation is delivered. You may have as many people as you like listen from your office speaker phone. Registrants receive a toll-free number and pass code that will allow entrance to the seminar. The session will be approximately 90 minutes, including question and answer sessions. Seminar materials, including instructions, pin number, and handouts will be emailed to you prior to the broadcast. You will need the most current version of Adobe Reader available free at www.adobe.com.
2. ON-DEMAND WEB LINK
(Beginning January 1, 2016, CDs replaced with digital download*)
Can’t attend the live webinar? The archived webinar is a recording of the live event, including audio, visuals, and handouts. We even provide the presenter’s email address so you may ask follow-up questions. Approximately two days prior to the webinar, you will receive an email with the archived webinar link. This webinar link can be viewed anytime 24/7, beginning 6 business days after the webinar and will expire 6 months after the live program date. The archived webinar may ONLY be ordered for 6 months following the webinar. It will not be available after this time.
3. BOTH LIVE WEBINAR AND ON-DEMAND WEB LINK
** Includes options 1 and 2 above.
*All materials are subject to copyright and intended for your financial institution’s use only.
Thursday, November 10, 2016 1:00 PM - 2:30 PMMountain Standard Time
At Your Desk!602-264-6701 ext 2238
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