The Anatomy of Compliance Research


Presented by: Rebekah Leonard

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All of these acronyms are relevant to good compliance research. Do you know what each one means? Or, in so trying, do you just want to exclaim the last one? Been there.

Banking law is complicated, and we aren't attorneys. Moreover, Congress is the source of every Federal rule we all must follow - in all their fickle and political glory - so no wonder things get challenging!

However, we do need to understand how a bill is passed into law, and how the law applies to the regulations we must follow in our banks. Some laws don't even have a regulation - we just have to dig right into the law itself to figure things out!

This webinar will start with a civics lesson on how laws are born, and progress through the hierarchy of legislation, rulemaking authority, regulatory agencies, and more. We'll dive into to law and regulatory structure and organization, to de-mystify all those confusing numbers, letters and strings of paragraph-charactered gobbledygook.

Why? Because it is crucial to understand how to "read" a regulatory citation, in order to apply it correctly in real-world scenarios. Such understanding provides the all-important context for deciphering the rules to get things right in your shop.

After channeling our best rendition of Schoolhouse Rock's "I'm Just a Bill", we'll progress to regulatory agency action and the fascinating sausage-making process of promulgating a final rule. (Oh yes, you'll be able to throw around the big words too when you're done!) We'll explore the Federal Register, why you care about it, and the treasure trove of back-story information it provides. We'll even talk about how you, dear Compliance Officer, can impact the final rule!

Finally, armed with all that knowledge, we'll get into the practical matter of researching and finding actual compliance answers. We have the privilege of working in the digital age and can harness a wealth of free resources and tools. Some resources are better than others, so learning what tool to use in any given situation is vital.

All this is just one fun-filled hour!

What you'll gain from attending this webinar:
  • How "Acts of Congress" affect your daily compliance job
  • How Regulatory Agencies impact you, directly and indirectly
  • The importance of understanding "legislative intent"
  • The importance of legal authority - real life examples lifted from today's banking headlines
  • The purpose and structure of banking laws
  • The purpose and structure of banking regulations
  • The purpose and varied structure of Agency guidance
  • Reading a Federal Register with confidence
  • How to conduct research effectively and efficiently
  • Practical tips and tricks
All of this information will be presented from the perspective and real-life experience of a veteran compliance pro (25 years!) who, like you, is currently working in the trenches of her bank as the voice of compliance, and researching this stuff

Compliance staff, deposit and loan compliance professionals, policy makers, and audit staff.

About the Speaker: Rebekah F Leonard, CRCM is the Director of Compliance for a $6 Billion community bank in Montana, as well as the owner of Elucidate, LLC, a compliance training company based in Miles City, Montana. Rebekah has been in the finance and banking industry since 1995, beginning in private-lending before settling into banking, where she's covered nearly all of it - from customer service and teller work, to loan processing and review, to security & business continuity, to ultimately overseeing CRA, BSA and all aspects of compliance as a senior leader. She has successfully navigated numerous FDIC Compliance, CRA, and BSA Exams. Rebekah has a bachelor's degree in Organizational Leadership from Chapman University (Magna cum Laude), attended the American Bankers Association National Compliance School in 2003, and has held her Certified Regulatory Compliance Manager designation since 2006. She actually likes compliance (really!) and enjoys sharing her passion of it with others.

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This product was added to our catalog on Tuesday 06 December, 2022.

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