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Teaching Your Front Line Staff to Ask BSA Questions

Thomas E Nollner is keynote speaker at Compliance Key, Inc he has more than 38 years of experience in financial institution supervision and consulting. Mr. Nollner spent 30 years as a National Bank Examiner (NBE) for the Comptroller of the Currency where he was a safety and soundness examiner and a compliance examiner. The last 15 years as an NBE and for the past 8 years as a consultant, Mr. Nollner has specialized as an AML/CFT examiner/consultant. In these roles he has analyzed financial institution's AML/CFT programs to ensure that they complied with applicable AML/CFT laws, rules, and regu........

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Overview

This Bank Secrecy Act (BSA) training program will explain how to train your frontline staff to ask BSA questions. It will cover Currency Transaction Reports (CTR), Monetary Instrument Log, and Suspicious Activity Reports (SAR) scenarios and questions, and much more.

Why should you attend?

The frontline staff of any financial institution is the first line of defense for BSA compliance. Therefore, an ill-trained frontline staff could lead to the collapse of an institution or the imposing of enforcement actions from the regulators. A strong and well-educated frontline staff will help develop a strong back office BSA department for your institution. Often, the frontline staff does not know why they are asking BSA questions or what the focus of BSA truly is. This webinar will not only give your frontline staff viable scenarios and ways to respond during the customer question and answer process, but this training will also explain why your staff are asking the questions in the first place. Another valuable section of this webinar will teach the frontline staff when questions need to be asked. Most staff are familiar with how and why they ask questions related to CTRs and the Monetary Instrument Log, but they need to be able to look at a customer's account history so as to understand how to ask questions related to the SAR process.

Areas Covered in the Session:

  • Responsibilities of frontline staff
  • Customer service vs. bank preservation
  • Updating customer information
  • CTR, SAR, and Monetary Instrument Log scenarios and questions
  • Building a strong relationship between the frontline staff and back office staff
  • Developing a culture of compliance in frontline staff 

Who can Benefit:

  • Frontline bank staff
  • On-boarding staff
  • Customer relations staff
  • Back office staff
  • BSA Officer
  • Compliance Officers
  • Suspicious activity investigators and analysts

Webinar Id: ISSTN001

Duration: 60 mins

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