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Compliance Training for the Frontline

Apr 26 2:00 PM - Apr 26, 2022 3:30 PM
Apr 26, 2022 2:00 PM - 3:30 PM
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Day in, day out, all day long, the frontline faces a barrage of different requests/transactions with multiple regulatory requirements embedded in each one. And they are expected to get it right every time. Best practices call for ample, regular training. This hearty webinar is just the ticket!

Learning Objectives

  • Detail the compliance regulations that impact your day-to-day responsibilities
  • Accurately calculate the amount and timing of Reg CC holds
  • Meet enhanced BSA expectations
  • Avoid Reg E error resolution errors
  • Properly place stop payments for electronic and paper items
  • Understand the importance of ethics and confidentiality

Did you know that one “simple” transaction like a deposit of cash and a few checks into a checking account can be governed by at least seven regulations or Acts? Frontline staff are responsible for placing appropriate holds, providing timely, accurate disclosures, and identifying and reporting suspicious activity – all while providing outstanding service. This program will dive into the regulations that affect the frontline from A to Z and back again.

This webinar will also address the frontline’s role with compliance reviews and audits and detail the nuts and bolts of a compliance exam. You’ll learn about the deposit compliance issues recently cited by examiners and how to avoid similar errors. In addition, the tools provided can be used daily to guide you through regulatory requirements, aid in identifying red flags, and assist in answering accountholder questions. Both new and seasoned frontline staff will benefit from this jam-packed, fast-paced session that will also meet annual training requirements. Don’t miss it!



Dawn Kincaid, Brode Consulting Services, Inc.

Dawn Kincaid began her banking career while attending The Ohio State University. She has over 20 years’ experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Dawn served as the Senior Vice President of Operations for a central-Ohio-based community bank, where she created and refined policies and procedures, conducted self-audits and risk assessments, and organized implementation of new products and services. Dawn has served in the roles of Compliance, BSA/AML, CRA, Privacy, and Security Officer. She has led training initiatives, prepared due diligence information, completed a variety of regulatory applications, coordinated internal and external audits and exams, and presented for numerous state associations.




Please note: You may share the link with others at your credit union, however the confirmation will be sent to one primary contact at your credit union. It will be up to the primary contact to share the material with others.

Additional Info

Event Type

On-Demand Webinar

Topics Covered

  • On-Demand Webinars
  • Member Service
  • Compliance