Consumer Account Documentation: Best Practices

Opening a new account is detail intensive. There are so many types, so many rules, so much documentation – and innumerable opportunities for mistakes. Up your game by attending this robust webinar that will answer all your account documentation questions and instill best practices.

After This Webinar You’ll Be Able To:

  • Grasp CIP and CDD requirements, including documentary and non-documentary identification methods, risk profiles, and tax identification numbers
  • Understand required documentation and monitoring procedures for high-risk accountholders
  • Distinguish common ownership types and the account titling, ownership, authorities, CIP verification, and tax reporting associated with each
  • Explain the importance of the disclosures required at account opening
  • Employ the provided tools and charts to make your new accounts process more efficient

Webinar Details

Opening even a basic checking account can involve considerable time, paperwork, and risk! Every accountholder’s situation is different and there is often uncertainty about account ownership, required identification, and how to conduct appropriate due diligence. It can be daunting to meet regulatory requirements, make consumers aware of your institution’s products and services, and provide a positive service experience throughout the process. This jam-packed session will dissect consumer account opening compliance issues, go through the account opening operation from start to finish, and provide loads of tools to incorporate into your process.

Who Should Attend?
This informative session is designed for new accounts personnel, deposit operations staff, branch managers, and compliance officers.

Take-Away Toolkit

  • Detailed tables for each consumer account type reviewed
  • Sample risk profile form
  • Employee training log
  • Interactive quiz
  • PDF of slides and speaker’s contact info for follow-up questions
  • Attendance certificate provided to self-report CE credits

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.


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.

Registration Options

  • $245 – Live Webinar Access
  • $245 – OnDemand Access + Digital Download
  • $350 – Both Live & On-Demand Access + Digital Download
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Dec 13 2022


10:00 am - 11:30 am



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