Event Calendar

Thursday, January 10, 2019

Teller Training Series: Compliance Training for the Frontline

Start Date: 1/10/2019 1:00 PM MST
End Date: 7/10/2019 2:30 PM MDT

Organization Name: Independent Bankers of Colorado

Tara F. Hunter
Phone: 303-832-2000

Teller Training Series: Compliance Training for the Frontline
1:00 pm – 2:30 pm MT

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.

Continuing Education: Attendance verification for CE credits upon request.


  • 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
    • 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

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

NOTE:  All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your financial institution is prohibited. Print materials may be copied for eligible participants only.

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, and coordinated internal and external audits and exams.