Frontline Compliance Concerns


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Presented by:
Andy Zavoina and John Burnett

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For compliance professionals, auditors and everyone involved in lending and change management, the world seems to be spinning much faster this year. There are changes pending, tons of reading and months of preparation to get started on. Operations issues are changing too. You have to keep up with what is and isn't insured, remittance rules, Reg CC availability and more. But in all this rapid change, there are some constants. Your bank will be examined, and the rules existing at the time will be applied. It's easy to think about what will be, but we can't put aside what is.

This is why John and Andy want you to take a deep breath and spend two hours with them on basic compliance issues that involve your frontline staff. Bring your frontline personnel into the webinar when it is live, or tell them which parts they need to listen to and give them 30 days to do it. Remember you get that 30 days to re-listen as often as you want. This will be a confidence booster, answer questions, and help ensure you are on the right path for your next exam and to help meet training requirements. We'll talk about what has changed and what needs to be done now to comply and avoid problems.

Some of the key issues we'll discuss include:
  • Regulation CC , holds and disclosure timing and what is and isn't applicable
  • Regulation E, what to get from a customer who has a claim, what is a claim, and what is the latest on the remittance and ATM disclosure rules
  • Regulation D, confusion over DDAs, NOWs, and FDIC disclosures on interest bearing accounts
  • Regulation DD , what disclosures are required, when and how do you respond to customer questions about rates and the APY
  • BSA
  • CTRs and SARs: what frontline personnel should know and say
  • HMDA records: what has to be available and where
  • CRA records: what is the "Public File" and does it need to be available since nobody has asked for it
  • FCRA challenges
  • Complaints: who handles and when
  • SCRA inquiries, policies and procedure requirements
  • What are the new Reg Z and M limits
  • What are some regulatory hot topics to watch for
  • and lots more!
About the Speakers: John Burnett is a 1979 alumnus of the ABA National Compliance School, and served on its faculty for several years. He graduated with honors with the Class of 1990 from ABA's Stonier Graduate School of Banking. He is also a graduate of the BAI's and the Massachusetts Banker Association's School of Banking.

He joined Cape Cod Bank and Trust Company in 1971 and assumed his role as Compliance Officer in 1976. He also served as corporate secretary and secretary of CCBT's Board of Directors, as well as Clerk of the bank's holding company. John joined Glia Group, Inc., and became a part of the BOL Team in June, 2004.

Mr. Burnett is a former member chair of the Massachusetts Bankers Association Legal and Regulatory Compliance Committee, and of the American Bankers Association Compliance Executive Committee and NCS/NGCS Advisory Board. He served on ABA's Truth in Savings Task Force, and has served on several ABA and Massachusetts Bankers seminar panels.

Andy Zavoina has been in finance and banking for 23 years. Over 20 years were with a holding company with two Central Texas community banks that had $534 million in assets, 89 branches spanning Texas and nearly 500 ATMs. After starting in loan workouts, Mr. Zavoina has been a consumer, commercial and real estate lender and managed those departments as well as being the bank's first Webmaster. He was responsible for compliance, management, auditing, and training for both banks.

Mr. Zavoina is a past Chairman of the American Bankers Association's Compliance Executive Committee. He was the 2003 recipient of the American Bankers Association's Distinguished Service Award for his involvement and accomplishments in the field of regulatory compliance management. He was chairman of the Editorial Advisory Board for the ABA's Compliance Magazine, an advisor to the Compliance Action newsletter, was a member of the ABA's Compliance School Board and is a BankersOnline Guru. He also served on the Texas Bankers Association's Compliance Committee.

He is a graduate of the ABA National Commercial Lending School, National Compliance and National Graduate Compliance School and is a Certified Regulatory Compliance Manager with the Institute of Certified Bankers. He has written numerous articles and lectured on compliance, the use of the Internet and technology as a tool, as well as compliance in cyberspace to local, state and national associations. Internet policies and other compliance related programs are made available on his personal Web site.

This program was recorded in its entirety in April 2017. The CD-ROM includes program slides, materials (if available) and follow-up Q & A document.

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  • Model: cd_frontline0417
  • Manufactured by: Glia Group, Inc.


This product was added to our catalog on Thursday 31 January, 2013.

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