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Compliance for Opening New Accounts

As a new account representative, you have a special challenge that can be complex and overwhelming at times.

You must deliver a superb, effective, and efficient experience on the very first visit of a new member, and at the same time meet all the federal and state laws, regulations, bylaws, policies and procedures requirements. However tempting it may be, you just can’t cut corners on new account compliance.

To make it easier, let credit union compliance expert Tracy Vasilia help you understand the compliance rules and procedures you’re following and why they are so important as she discusses:

  • The regulatory and field of membership requirements for new accounts;
  • Account opening procedures and conducting the new member interview;
  • Customer Identification Programs and acceptable forms of identification;
  • Changing account ownership, including power of attorney and trust accounts.
  • Share Insurance considerations;
  • Membership applications, signature cards, and disclosure requirements;
  • Member due diligence and how we use this information to protect the credit union;
  • Risk-rating business accounts;
  • Consequences of noncompliance.

Who should attend?
Credit union professionals who open or monitor new member accounts, especially in these departments:

  • New Accounts
  • Member Service
  • Teller
  • Call Center
  • Compliance
  • Internal Audit
  • BSA Officer

Meet the presenter, Tracy Vasilia:
Tracy Vasilia has had the pleasure to work in the credit union industry for more than thirteen years, where she has trained credit union professionals on regulatory, compliance, and operational issues through contracted speaking engagements, webinars, and chapter meetings. Previously, Tracy held the position of Manager of Distance Learning and Credit Union Support for the California and Nevada Credit Union Leagues, and had the privilege of managing and moderating the Leagues’ electronic delivery channel for distance learning “eTrain.”  Additionally she was the liaison for the credit union chapter community in California and Nevada for over five years.

During her tenure at the Leagues, she served as a compliance and regulatory consultant to large, middle, and small credit unions on the Research & Information hotline. She also prepared regulatory articles for the Leagues' CU Digest and TIPs bulletins for the credit union community. Tracy earned her Credit Union Compliance Certification in 2006, and is a 2013 graduate of Western CUNA Management School.  Today, Tracy is the Senior Compliance Specialist for a $3 billion credit union in Southern California.

Registration Investment: $195 for League Member
You must be a member of your state league to attend this presentation.
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Webinar to participate in: eTrain: Compliance for Opening New Accounts
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