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Compliance for Beginners Webinar

July 31, 2024 10:00 am - 12:00 pm

That’s the point of this webinar – define the “universe” of banking law and help new compliance professionals – or even those looking to up their knowledge and get helpful information – so that you can succeed at your job. We’ll provide many tips and tricks, including where to find all this information, as well as provide a primer on the banking regulatory world. Who are the players? Who regulates who, and what are exams all about?

What You’ll Learn

  • The banking industry regulatory structure – who regulates who
  • Where are all these laws and regulations that impact the industry?
  • How do these laws and regulations (and guidance) become effective?
  • Monitoring the Federal Register and regulatory websites
  • What is authoritative and what is not?
  • Finding all this information – utilizing the online world to follow along (“change management”)
  • The various areas of compliance: deposits/operations, lending, privacy, AML/BSA, and others
  • What is the examination process all about? How best to succeed
  • The basics of a Compliance Management System (CMS) – the keys to be credible
  • Helpful sites and resources to have all you need

Who Should Attend

This interactive session will benefit anyone new to the area of retail banking compliance, whether in operations, lending, AML/BSA, or anywhere else. As well, this information will benefit professionals looking to fill in a few gaps, gain a more complete understanding of the banking regulatory structure, and anyone else looking for some good tips and tricks to ensure you have all the information you need.