Compliance Management

This webinar will look at the expectations/requirements related to a financial institution’s Compliance Management System (CMS). You will learn how best utilize your resources to create an effective CMS, as well as improve and/or enhance your current CMS.

Compliance Management Systems are a vital and necessary part of your organization’s success. As you look to develop or fine tune your CMS, there are a few things to keep in mind. There is no “recipe” for compliance management. One size does not fit all. While there is a basic framework that should be used, what works for one organization may not work for you. To be successful, you’ll need to apply the principles and adjust them to fit your culture, environment, personnel and systems. Establishing a healthy CMS is also a process that takes time. It’s not a one and done process. It’s a process that evolves and continually changes.

The "Compliance Management" webinar has been approved for 2 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for Live attendance only. Certification holders must report these credits at https://aba.csod.com.

Covered Topics

  • Board and Senior Management Oversight
  • The Role of the Compliance Officer(s) / Compliance Team
  • Risk Assessments
  • Effective Policies, Procedures & Processes
  • Training
  • Audits & Monitoring
  • Complaint Management
  • Reporting
  • Culture (the foundation of an effective Compliance Management System).

Who Should Attend?

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