Education & Events

BSA Series: Job-Specific BSA Training for the Frontline

Date: 
Jul 16, 2019
Program Overview: 

The frontline is the first line of defense in identifying and reporting suspicious activity.  Therefore, it’s crucial that frontline staff receive initial and annual training on BSA/AML requirements and fully understand what is expected during their day-to-day duties.  This session will detail BSA/AML rule components, including red flags for money laundering, CIP documentation, CDD rules, OFAC screening, CTR completion, maintaining information for the sale of monetary instruments, and much more!  Arm your frontline with the knowledge and tools needed to comply. 

Topics: 
  • Overview of the five BSA pillars
  • Currency transaction reporting (CTR) rules and how to avoid errors
  • Identifying and reporting suspicious activity
  • OFAC screening responsibilities
  • Gathering the information required to meet CDD requirements
  • Red flags for hot-button, high-risk activities, including elder financial exploitation, marijuana-related businesses, and human trafficking
  • Noncompliance penalties

 

  • TAKE-AWAY TOOLKIT
    • Audit checklist for CTR accuracy
    • Sample suspicious incident report
    • Elder abuse, marijuana-related businesses, human trafficking, and money laundering red flags
    • Employee training log
    • NEW – Interactive quiz

            Speaker: 

            ABOUT THE PRESENTER – Dawn Kincaid, Brode Consulting Services, Inc.

            Dawn Kincaid began her banking career while attending The Ohio State University.  She has 17 years’ experience in client service, operations, information technology, administrative and board relations, marketing, and compliance.  Most recently Dawn 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.  Dawn 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.

            Agenda: 

            WHO SHOULD ATTEND 

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

            Fees: 

            MEMBER

            Live Webinar
                $255.00 Single Location
                $155.00 Each Additional Location

            Recorded Webinar & Free Digital Download
                $255.00

            Premiere Package (Live & Recorded Webinar with Free Digital Download)
                $375.00

            Association Contact: 

            If you have any questions or need additional information, please contact Marcy Borden at 317-387-9380 or mborden@indianabankers.org

            Cancellation Policy: 

            Within three or more business days prior to the day of an educational program, no cancellation charge will be assessed. If your bank is unable to participate after registering, you can select to purchase the on-demand presentation.

            Webinar Options: 

            1.  Live Webinar
            The LIVE WEBINAR option allows you to have one telephone connection for the audio portion and one Internet connection (from a single computer terminal) to view online visuals as the presentation is delivered.  You may have as many people as you like listen from your office speaker phone. Registrants receive a toll-free number & pass code that will allow entrance to the seminar. Seminar materials, including instructions, pin number, and handouts will be emailed to you prior to the broadcast.  You will need the most current version of Adobe Reader available free at www.adobe.com.

            2.  Recorded Webinar & Free Digital Download
            Can’t attend the live webinar?  The recorded webinar & Free Digital web link is a recording of the live event, including audio, visuals, & handouts. We even provide the presenter’s email address so you may ask follow-up questions.  Approximately one week prior to the webinar, you will receive an email with the web link.  This web link can be viewed anytime 24/7, beginning 6 business days after the webinar and will expire 6 months after the live program date.  

            LIMITED AVAILABILITY:  The Recorded Webinar & Free Digital Download web link may ONLY be ordered for 6 months following the webinar.

            3.  Both Live Webinar & Recorded Webinar & Free Digital Download
            Includes options 1 and 2 above

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