Compliance Management

Join us for a two-hour webinar on Compliance Management. All banks should have an effective Compliance Management System. 

We will discuss the expectations/requirements, how to improve/enhance them and how to best utilize your resources to create an effective Compliance Management System.

Covered Topics:

  • Active board and senior management oversight;
  • Risk Assessments;
  • Effective policies and procedures;
  • Training;
  • Audits & Monitoring;
  • Complaint Management;
  • Reporting; and,
  • Culture (the foundation of an effective Compliance Management System).

An Important Note from the Presenter, David Dickinson:
I was an FDIC Field Examiner, a Loan Officer and then I started Banker’s Compliance Consulting in 1993 (25 years ago). During the course of my career, I’ve had the privilege of working with hundreds of financial institutions in many different ways and our company has had the opportunity to serve hundreds more. From these experiences, I’ve seen many different ways to “do” compliance - some successful and some not.

There is no “recipe” for compliance management. One size does not fit all. However, there is a basic framework that should be used by your Board, Management and Compliance Officer to design and maintain a healthy Compliance Management System (CMS). But, what works for one institution may not work for you.

During this training, we will discuss:
  • The Challenging Environment we face
  • Meeting the Challenge
  • The Role of the Board of Directors & Management
  • The Role of the Compliance Officer / Team
  • Risk Management and Risk Assessments
  • Policies, Procedures and Processes
  • Training
  • Internal and External Reviews
  • Complaint Management
  • Revisiting the Program
  • Culture / Organizational Health
  • Managing Regulatory examinations

We’ll talk through the principles of the CMS and discuss how to adjust them to fit your culture, environment, personnel and systems. It’s a job that you’ll never finish and you can’t check it off your list. In fact, it’s a cycle that continuously repeats. It must be evaluated and adjusted as new rules and requirements are issued and as your personnel change. Establishing a healthy CMS is a process that takes time - LOTS of time.

It is my desire that you’ll glean thoughts from this training and consider what will work for you. I also hope you’ll be more intentional about your CMS from the things you learn at this unique training.

Who Should Attend?

This webinar is designed for anyone involved in a bank’s compliance management system. This could include compliance officers, auditors, Management, Directors, etc.

Note: For this webinar, all questions submitted before or during the webinar will be answered during the live webinar, even if the time required exceeds two hours. If you register for any of our options (Live, OnDemand, CD) and would like to pre-submit questions before the live webinar date, please email those to [email protected]. When planning for the webinar, please allow extra time at the end if you wish to hear the Q&A. We regret that questions cannot be answered after the live webinar.