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Daylong Compliance Seminars

·         Operations Compliance

·         BSA Officer

·         Crash Course in Compliance

·         Marketing and Advertising Compliance

·         Consumer Lending Compliance

·         Mortgage Origination Compliance

·         Regulatory Update

·         Error and Complaint Resolution and Compliance Management Systems

·         Auditing for Compliance

·         Security and Privacy Requirements – (Safeguarding member information)

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Compliance 1.5-2 hour mini seminar or webinar topics (Can also combine 2 or 3 topics for a full day seminar)

·         Deposit Operations Compliance Overview

·         Elder Financial Abuse

·         Consumer Accounts

·         Business Accounts

·         Handling Fiduciary Accounts

·         Laws of Checks and Checking Accounts

·         BSA for Frontline

·         BSA for Lenders

·         BSA for BSA Officers Intro

·         BSA for BSA Officers Update/Advanced

·         BSA for Volunteers

·         Reg E and the Electronic Funds Transfer Act (ATM, ACH, debit cards, home banking)

·         Error Resolution for plastic cards, int'l remittances, check 21, consumer complaints

·         Identity theft, and security of member information and fraud prevention

·         Consumer Lending Compliance Overview

·         Credit Card Compliance

·         Fair Lending - Equal Credit Opportunity and Fair Housing

·         Lending to Servicemembers

·         Requirements of the Truth in Lending Act

·         Mortgage Lending Compliance Overview

·         Appraisal Compliance

·         SAFE Act and other Loan Originator Requirements

·         Home Mortgage Disclosure Act

·         Real Estate Escrow Accounts and Flood Insurance Requirements

·         Mortgage Servicing Compliance

·         Auditing for Mortgage Compliance

·         Compliance for Collections

·         Member Business Lending

·         Avoiding UDAAP (Unfair, Deceptive and Abusive Acts and Practices)

·         Compliance Management Systems

·         Fair Credit Reporting Act

·         Website Compliance

·         Advertising Compliance

·         Compliance Audit Programs

·         Compliance Overview for Volunteers and Management

Below are some examples of session content. For information about a specific presentation, please e-mail.

BSA for Staff
Money Laundering awareness, Suspicious Activity Reporting, Currency Transaction Reporting, Customer Identification, Wires and Moentary Instruments.

This session is suitable for all staff and provides a certificate of completion to comply with the required annual training on BSA. Board and Supervisory Committee members wanting a deeper understanding of BSA requirements are also welcome to attend.
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BSA Officer Training
Advanced class for BSA Officers including Risk Assessment, Account Monitoring, Meeting the requirements of an Audit or Examination.

This session is for BSA Officers, Branch Managers, Internal Auditors and anyone responsbile for BSA compliance beyond normal staff duties.

This session starts where BSA for Staff leaves off, therefore, participants should have a good understanding of basic BSA compliance at the staff level.
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Laws of Checks and Check Fraud
Learn about applying holds on checks and other funds, check fraud trends and prevention, proper payees on checks and who is liable on checks and other items. Using the laws and regulations can protect the financial institution from losses.

This session is for frontline staff, supervisors and branch managers, fraud and risk management specialists, and anyone working in the share draft department.
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Marketing, Advertising and Privacy
Learn all about the laws and regulations governing the marketing and advertising of savings and lending products, website marketing, sweepstakes and prizes, Fair Credit Reporting, California and Federal Privacy Requirements.

This session is for anyone responsible for marketing and promoting credit union services.
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Share/Deposit Insurance of Accounts
Learn proper calculation of share or deposit insurance on accounts, such as: how a husband and wife can have over $1 million on deposit and be fully insured. Insurance on Trust accounts and UTMAs will also be covered.

This session is for frontline staff, supervisors and branch managers, new accounts personnel, and member service representatives.
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Crash Course in Compliance  This one-day session takes you through all aspects of compliance in your institution, from new accounts - identifying prospective members (for credit unions), OFAC, BSA, account ownership, through the account relationship -electronic funds transfers, checking accounts, consumer loans, and decedent accounts. We also cover marketing, security, privacy, share or deposit insurance and more!

  
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