Regulatory Compliance for Banks – Practical Insight to Decrease Scrutiny from Examiners and Regulators

Duration 60 Mins
Level Basic & Intermediate
Webinar ID IQW19H0857

  • Current regulatory environment
  • Background of consumer compliance
  • Regulation D: Reserve Requirements
  • Regulation DD: Truth in Savings Act
  • Regulation CC: Funds Availability Act
  • Regulation E: Electronic Funds Transfer Act

Overview of the webinar

Regulators have become more focused than ever to ensure financial institutions are operating with the consumer in mind. This has been an area of focus during examinations over the past year and will continue with the political environment in mind.

Who should attend?

Anyone who works within the following areas of a bank:

  • Consumer compliance Manager
  • Regulatory Affairs Associate
  • Regulatory Affairs Managers
  • Project Management Officer (PMO)
  • Front Line BSA/AML Staff
  • Internal and Independent Auditors
  • Compliance Officers
  • Lenders 
  • Operations Personnel 
  • Branch Managers 
  • Assistant Branch Managers 
  • Customer Service Reps 
  • Risk Officers 
  • Collectors 
  • Trainers

Why should you attend?

With the increased scrutiny of examiners and regulators, it is extremely important for financial institutions to increase their oversight efforts in regard to regulatory compliance for deposit related regulations. A lack of compliance can result in increased risk exposure for financial institutions trying to protect their consumers. The negative results can not only hurt a financial institutions reputation, but also their financial results.

It’s important more than ever to understand the impact of the regulations that impact deposits and take the necessary precautions in advance as opposed to being reactive after an issue occurs.

Faculty - Mr. Justin Muscolino

Justin brings over 20 years of wide-arranging experience in compliance, training and regulations. Most recently, he served as Head of Compliance Training at Bank of China where he led the compliance training function and created and monitored the annual training plan through a thorough training needs analysis. Previously he served as Macquarie Group’s Head of Americas Compliance Training and JPMorgan Chase’s Compliance Training Manager.Justin also worked for FINRA, a US regulator, where he created Examiner University to train examiners on how to perform their function.

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