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Three Pillars of an Effective Compliance Management System

Explore the three pillars of an effective Compliance Management System and learn how strong oversight, a comprehensive compliance program, and independent testing work together to manage risk and promote a culture of compliance.
Upcoming
DATE

Friday, September 25, 2026
11:00 am - 12:30 pm

INSTRUCTOR

Molly Stull

FORMAT

Webinar

CREDIT TYPE

2 CRCM Credits

$299.00 or 1 Token

Includes: Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Compliance
  • Compliance Officer

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A strong Compliance Management System (CMS) is essential for managing regulatory risk, protecting customers, and supporting a culture of compliance throughout the organization.

This program explores the three foundational pillars of an effective CMS, board and management oversight, a comprehensive compliance program, and independent testing and monitoring, and provides practical guidance for strengthening each area.

Participants will learn how these components work together to identify risks, establish accountability, implement effective policies and procedures, and verify ongoing compliance. Whether enhancing an existing CMS or building a stronger framework, this session provides valuable insights and tools to help institutions create a proactive, sustainable approach to compliance management.

What You'll Learn

Understand the three key pillars of an effective Compliance Management System (CMS) and how they support a strong compliance culture.

  • Learn the roles and responsibilities of the board, management, and employees in overseeing compliance risk.
  • Identify the essential elements of a comprehensive compliance program, including policies, procedures, training, risk assessments, and monitoring.
  • Understand the importance of independent compliance testing and monitoring in evaluating program effectiveness.

Who Should Attend

This webinar will benefit anyone responsible for the operations or oversite of the Compliance Management System including compliance and risk professionals.
Molly Stull

Instructor Bio

Molly began her banking career on the teller line while working on her undergraduate degree and has continued working in the financial industry ever since. Some of her experience includes roles in operations, business resumption planning, consumer compliance, and conducting audits. Her favorite role is ensuring that her audience, whether on the sports field or in the financial industry, understands the "why" behind the rule. Her wealth of financial knowledge and her numerous years of experience enable her to relate the material to the audience.

Continuing Education Credit Information

Three Pillars of an Effective Compliance Management System has been approved for 2 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for both Live and OnDemand viewing. For questions on certificates, please email support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.

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