Webinars

The webinar will go line by line through the CTR.

A compliance audit/review is a comprehensive evaluation of a financial institution’s adherence to regulatory guidelines. Its purpose it to identify problems and weaknesses BEFORE they are detected by examiners, or even worse, customers’ attorneys. This webinar will provide an overview of the tools and resources available for conducting a compliance review as well as areas to review and questions to ask.

This live program focuses on current issues involving financial exploitation. A reference manual will be included with resources and sample forms.

It is amazing how many banks go through extreme measures and make so many mistakes regarding the setup, maintenance and termination of this type of account.

Compliance with the Bank Secrecy Act continues to be a supervisory priority so it’s important for new BSA Compliance Officers to have a good grasp of the requirements and, more importantly, where to get answers to questions that may arise. This session will provide new BSA Compliance Officers with information on the laws and rules, as well as guidance on resources that can help make their jobs easier.

During the webinar, you will review line-by-line the text fields and requirements to complete the Suspicious Activity Report (SAR).

During this program, we will cover where we are on the key elements of BSA.

In this 2 part series, we'll discuss the fifth pillar of BSA – Customer Due Diligence and building a CDD questionnaire, as well as BSA risk issues with opening certain types of customer accounts, including high-risk customers and establishing and changing risk ratings.

Keeping up with all of the rules, regulations, and laws that affect financial institution operations can be daunting for the most seasoned compliance professional; for new compliance officers, it can be overwhelming. This session is designed to provide new bank compliance officers with tools to help make the transition to their new role easier.