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Compliance 101: The Basics, Priorities and Pitfalls
Webinar
11 AM CT
Presenter: Kenneth Agle
Duration: 1 hour
Price: $249 / $199 (for Affiliation Members)
This is not your typical compliance training for the compliance officer. This session is for every bank employee who needs to have a high-altitude overview of a range of compliance regulations. The session presents the basics of each regulation, the priorities, and the common pitfalls. Employees in all functional areas, senior management, and board members who ordinarily don’t handle compliance head on would benefit from this session. And following the session, they can refer to the training materials to be reminded what the regulators look for during a compliance examination. New employees should attend as part of their orientation to compliance obligations throughout the bank.
The session covers:
- Lending compliance
- Operations compliance
- Abusive practices
- Retail insurance
- Investment compliance
- Bank Secrecy Act compliance
- Community Reinvestment Act compliance
BIO: Kenneth Agle
As President/CEO of Counter Risk Group, Mr. Agle brings over 20 years of banking experience covering numerous facets of banking operations. Mr. Agle specializes in strategic regulatory response and in developing and implementing both proactive and reactive tools and systems to preempt and resolve issues affecting today’s financial institution. Prior to launching his own consulting firm, Mr. Agle had been a bank examiner with the FDIC. As a commissioned examiner, Mr. Agle was principally involved in numerous examinations, including Safety and Soundness, Compliance, BSA, IT and Trust.
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Sheshunoff Consulting + Solutions is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Web site: www.nasba.org. |