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Regulatory Compliance for the Frontline, Including BSA Webinar
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When: Archive only
Where: In Your Credit Union
Contact: Kristina Kirchmer

Online registration is closed.
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Being on the frontline requires more than just unlocking your teller drawer and waiting for accountholders and applicants to show up.  There are abundant laws and regulations requiring you to:  provide certain disclosures within specific timeframes; handle inquiries, complaints, and errors in a timely fashion; and take certain actions as required by law, rule, or regulation (such as filing CTRs or SARs).  The alphabet soup of consumer compliance regulations, along with other specific regulations aimed at the financial industry, can be confusing.  This webinar is designed to drill down to the essential components that must be followed daily.


  • Disclosures that must be provided at account opening
  • Actions to take when a claim of unauthorized electronic transaction is made
  • Rights and liabilities when handling checks for deposit
  • Acquire a basic understanding of consumer compliance requirements
  • The basis for many policies and procedures
  • Job-specific annual BSA requirements


  • Alphabet soup descriptions of all frontline laws and regulations
  • Mini checklist for accepting checks and Reg E error resolution requirements
  • Letter of attendance certification with webinar outline
  • Employee training log
  • Quiz you can administer to measure staff learning and a separate answer key

Attendance verification for CE credits provided upon request.

This informative session is directed to all frontline member service personnel, including new accounts staff, tellers, member service representatives, frontline supervisors, branch managers, and share draft, ACH, and debit/ATM card processors.

ABOUT THE PRESENTER – Mary-Lou Heighes, CUCE, Compliance Plus, Inc.
Mary-Lou Heighes is President and founder of Compliance Plus, Inc.  Involved in the financial services industry since 1989, she has worked in numerous positions, including loan officer, marketer, and collector.  She also worked at a state trade association for seven years providing compliance assistance and advising on state and federal legislative issues that affect financial institutions.

Compliance Plus, Inc. was founded in 2000 to provide compliance assistance to financial industry.  Since then, Mary-Lou has helped financial institutions with developing compliance programs, provided compliance training nationwide, and spoken at numerous conferences throughout the country.  She has been an instructor at regulatory compliance schools, conducts dozens of webinars and conferences throughout the country, and has written articles for Credit Union Magazine.


Educational Investment:

Asset Size Archive Only
Over $75 million


$25 - $75 million


Under $25 million


Education Scholarship

Scholarships are available for all KCUA education events. Scholarships pay 100% of registration fee for credit unions under $25M, 50% for credit unions between $25-$75M and 25% for credit unions over $75M.



Upon registration, you will receive an email confirmation that you can print for your records.