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Deposit and Operations Compliance in a Dynamic Environment

The lending side of the institution shouldn’t get all the attention! There are a host of rules that cover the deposit and operations side of the financial institution, ones that require a thorough understanding of when they apply, what they mean, as well as the penalties for noncompliance.

Upcoming
Thursday, October 31st, 2024
10:00 am - 12:00 pm
Presented by Carl Pry
2.5 CRCM Credits
$299.00 or 1 Token

Includes: Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Compliance
  • Deposit
  • Deposit Compliance
  • Lending Compliance
  • Risk Management/Legal
  • Teller
  • Bank Legal Counsel
  • Compliance Officer
  • Consumer Lender/Retail Banker
  • Customer Service Representative
  • Deposit Operations Manager/Specialist
  • Loan Operations Manager/Specialist
  • New Accounts Representative
  • Private Banker
  • Risk Manager
  • Senior Management
  • Teller
  • Training Manager
  • Trainer

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There are many changes happening here, along with how these rules are being enforced. New developments include overdrafts, fees in general, and of course UDAAP.

Learn what these rules are, where to find them, what examiners are focusing on today, and about the requirements.

What You'll Learn

  • Regulation DD – Truth in Savings
  • Regulation CC – Funds Availability including Check 21 provisions
  • Regulation E – Electronic Funds Transfers
  • Basics of Insurance Sales
  • Right to Financial Privacy
  • Basic Privacy Regulations
  • FDIC Insurance – new signage requirements and limits
  • Nondeposit Investment Products (NDIP) requirements
  • Overdraft and NSF fees
  • UDAAP – fees in general and how to consider them
  • Is discrimination an issue here?
  • Sales practices
  • FCRA on the operations side
  • And more

Who Should Attend

This interactive session will give a basic understanding of each of these rules and is imperative for anyone performing duties in deposit areas of the financial institution, including tellers, new account reps, head tellers, supervisors, back-office personnel, trainers, and others working in these types of positions.

Carl Pry

Instructor Bio

Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Senior Advisor for Asurity Advisors in Washington, DC. Through his more than 30-year working career, as well as through his experience as a banking attorney and officer, he has provided a variety of regulatory compliance and financial performance services to financial institutions and other clients throughout the country. He has written extensively regarding consumer and commercial compliance, tax, audit, and financial institution legal issues, and is a frequent contributor to and currently serves as the Chair of the Editorial Advisory Board for the ABA Bank Compliance magazine. He has spoken at scores of banking, compliance, and state bar associations, and has conducted training sessions for financial institutions across the country.

Continuing Education Credit Information

Deposit and Operations Compliance in a Dynamic Environment has been approved for 2.5 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for both Live and OnDemand viewing. For questions on certificates, please email support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.

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