Teller Training Series: Compliance Training for the Frontline

Jan 10, 2019
Program Overview: 

PDF Brochure   Thursday, January 10, 2019       3:00 - 4:30 pm

Did you know that a “simple” deposit of cash and a few checks can be governed by at least seven regulations?  Frontline staff are responsible for placing appropriate holds on funds, providing accurate/timely disclosures, and identifying and reporting suspicious activity – all while providing outstanding service.  

This informative session will focus on compliance regulations and guidelines that affect frontline staff.  It will address common account transactions and the specific regulations that govern each.  Tools to enhance your daily routine will be provided to guide you through regulatory requirements, identifying red flags, and assisting with accountholder questions.  Both new and seasoned frontline staff will benefit from this must-attend, jam-packed session – and meet their annual training requirements.

  • Bank Secrecy Act: CTR triggers, information to obtain, and reporting suspicious activity
  • Regulation D: Its effect on various account types
  • Regulation E: Important error resolution issues and how to handle stop payments
  • Regulation CC: Examples of exception and case-by-case holds
  • Regulation P: Important privacy issues
  • Identity theft and recognizing elder financial abuse:  Recognizing red flags and when to report
  • Discrimination: Avoiding lending discrimination during initial conversations with prospective borrowers
  • UDAAP: Fair treatment in account recommendations, fee waivers, and consumer complaints
  • Truth in Savings: Understanding when and how to provide disclosures 

Take-Away Toolkit

  • Sample suspicious incident report
  • Error resolution flow chart
  • Sample hold chart and hold examples
  • Red flag alert form
  • Sample consumer complaint form
  • Elder abuse, identity theft, marijuana-related business, and money laundering red flags
  • Employee training log
  • Quiz to measure staff learning and a separate answer key



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, and coordinated internal and external audits and exams.



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











Live Webinar
    $255.00 Single Location
    $150.00 Each Additional Location

Recorded Webinar & Free Digital Download

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


Live Webinar
    $300.00 Each Additional Location

Recorded Webinar & Free Digital Download 

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

Association Contact: 

If you have any questions or need additional information, please contact Marcy Borden at 317-387-9380 or

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

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

Related Events

Hoosier Banker Digital

Hoosier Banker Media Kit