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Compliance Requirements for Branch Managers

Our branch managers wear a number of hats: taking deposits, opening accounts, originating loans, managing staff, and conducting branch audits among them. Join us for this session where will discuss the regulatory compliance elements that directly impact the many duties of a branch manager.

Upcoming
Wednesday, April 9th, 2025
10:00 am - 12:00 pm
Presented by Dawn Kincaid
2.5 CRCM Credits
$299.00 or 1 Token

Includes: Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts

  • BSA
  • Compliance
  • Deposit Compliance
  • General Compliance
  • Lending
  • Lending Compliance
  • Branch Manager
  • Compliance Officer
  • New Accounts Representative
  • Training Manager
  • Trainer

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Branch managers are responsible for placing and reviewing appropriate holds on funds, providing accurate disclosures in a timely manner, and identifying and reporting suspicious activity – all while providing outstanding service and effectively managing staff members.

We will dive into the regulations from A to Z and back again and focus on the specific requirements and guidelines that affect your role and responsibilities as a branch manager. We’ll also provide tools to assist you in all facets of your responsibilities, including branch and cash audits, meeting regulatory requirements, identifying red flags, and answering accountholder questions.

What You'll Learn

  • Detail the compliance regulations that impact your day-to-day responsibilities
  • Accurately calculate the amount and timing of Reg CC holds
  • Meet enhanced BSA expectations
  • Avoid Reg E error resolution errors
  • Properly place stop payments for electronic and paper items
  • Understand the importance of ethics and confidentiality

Who Should Attend

This informative session is ideal for branch managers, new accounts personnel, and compliance officers.


Dawn Kincaid

Instructor Bio

Dawn Kincaid began her banking career while attending The Ohio State University. She has 19 years of 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 the 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.


Continuing Education Credit Information

Compliance Requirements for Branch Managers has been approved for 2.5 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for both Live and OnDemand viewing. For questions on certificates, please email support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.