Education & Events

BSA Series: Job-Specific BSA Training for Operations

Date: 
Jun 04, 2019
Program Overview: 

June 4, 2019, 3:00 - 4:30 pm

Operations staff must have effective, ongoing training to meet several critical BSA requirements.  This webinar will examine three focal points of transaction testing sections of the BSA exam process.  Real-life examples of suspicious activities detected by deposit operations staff will be included, along with practical tips for processing and protecting the confidentiality of time-sensitive 314(a) requests. This session will include examples of CIP deficiencies in recent BSA enforcement actions and provide additional monitoring tools. 

Topics: 
  • Compliance with CDD, EDD, and beneficial ownership rules – will you pass the next BSA exam? 
  • What does the frontline need to know/collect when opening an account?
  • Best risk assessment practices for CDD and EDD
  • Tips for an effective CIP, including case studies
  • Recent enforcement actions focused on failure to identify, monitor, and report suspicious activity – learn how to avoid five issues that may cause violations
  • Seven steps to include in 314(a) procedures

 

  • TAKE-AWAY TOOLKIT
    • SAR checklist to identify, monitor, and report suspicious activity
    • Sample BSA responsibility matrix, including SAR monitoring, 314(a) requests, and CIP
    • Template for CDD policy for beneficial ownership and the fifth pillar of BSA compliance
    • Compliance review checklist for 314(a) procedures
    • Employee training log
    • NEW – Interactive quiz


      Speaker: 

      ABOUT THE PRESENTER – Susan Costonis, CRCM, Compliance Consulting and Training for FIs

      Susan Costonis is a compliance consultant and trainer who began her career in 1978.  She specializes in compliance management along with deposit and lending regulatory training.  Susan has successfully managed compliance programs and exams for institutions that ranged from a community bank to large multi-state bank holding companies.  She has been a compliance officer for institutions supervised by the OCC, FDIC, and Federal Reserve.  Susan has been a Certified Regulatory Compliance Manager since 1998, completed the ABA Graduate Compliance School, and graduated from the University of Akron and the Graduate Banking School of the University of Colorado.  She regularly presents to financial institution audiences in several states and “translates” complex regulations into simple concepts by using humor and real-life examples.  

      Agenda: 

      WHO SHOULD ATTEND 

      This informative session is designed for BSA officers, BSA staff, deposit operations personnel, loan operations staff, loan officers, branch personnel, risk managers, compliance officers, new accounts staff, and auditors.

      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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