Compliance Training for the Frontline

Day in, day out, all day long, the frontline faces a barrage of different requests/transactions with multiple regulatory requirements embedded in each one. And they are expected to get it right every time. Best practices call for ample, regular training. This hearty webinar is just the ticket!

• Detail the compliance regulations that impact your day-to-day responsibilities
• Accurately calculate the amount and timing of Reg CC holds
• Meet enhanced BSA expectations
• Avoid Reg E error resolution errors
• Properly place stop payments for electronic and paper items
• Understand the importance of ethics and confidentiality

Did you know that one “simple” transaction like a deposit of cash and a few checks into a checking account can be governed by at least seven regulations or Acts? Frontline staff are responsible for placing appropriate holds, providing timely, accurate disclosures, and identifying and reporting suspicious activity — all while providing outstanding service. This program will dive into the regulations that affect the frontline from A to Z and back again.

This webinar will also address the frontline’s role with compliance reviews and audits and detail the nuts and bolts of a compliance exam. You’ll learn about the deposit compliance issues recently cited by examiners and how to avoid similar errors. In addition, the tools provided can be used daily to guide you through regulatory requirements, aid in identifying red flags, and assist in answering accountholder questions. Both new and seasoned frontline staff will benefit from this jam-packed, fast-paced session that will also meet annual training requirements. Don’t miss it!

This informative session is designed for frontline staff, universal bankers, new accounts personnel, and branch management.

• Summary of compliance regulations
• Red flags for suspicious activity and identity theft
• Error resolution flow chart
• Funds availability schedule
• PDF of slides and speaker’s contact info for follow-up questions
• Attendance certificate provided to self-report CE credits
• Employee training log
• Interactive quiz

NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your agency is prohibited. Print materials may be copied for eligible participants only.

MEET THE PRESENTER — Dawn Kincaid, Brode Consulting Services, Inc.
Dawn Kincaid began her banking career while attending The Ohio State University. She has over 20 years’ experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Kincaid served as the Senior Vice President of Operations for a central-Ohio-based community bank, where she created and refined policies and procedures, conducted self-audits and risk assessments, and organized implementation of new products and services. Kincaid has served in the roles of Compliance, BSA/AML, CRA, Privacy, and Security Officer. She has led training initiatives, prepared due diligence information, completed a variety of regulatory applications, coordinated internal and external audits and exams, and presented for numerous state associations.


  • $245 – Live Webinar Access
  • $245 – OnDemand Access + Digital Download
  • $320 – Both Live & On-Demand Access + Digital Download


Apr 26 2022


10:00 am - 11:30 am



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