A Year in the Life of a Compliance Officer

On-Demand Webinar
StreamedNov 29, 2023Duration90 minutes
  • Unlimited & shareable access starting two business days after live stream
  • Available on desktop, mobile & tablet devices 24/7
  • Take-away toolkit
  • Ability to download webinar video
  • Presenter's contact info for questions
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Do you see your life laid out before you?

If you’re a compliance officer, this webinar could be your roadmap. Compliance officers must stay abreast of and track an overabundance of policies, procedures, regulations, and deadlines. This webinar is the perfect onramp to the tools, tips, and sample calendars compliance officers need to steer your institution in the right direction.
  • Use provided checklists to track your responsibilities
  • Implement tracking methods for everything from policy approvals to exam findings
  • Enhance your change management process to address new and updated regulatory requirements
  • Establish an effective training program
  • Effectively report compliance matters to the board
  • Understand the tools and resources available to you


Compliance officers’ duties are broad. They must manage regulatory compliance dates (that can change on short notice), update policies and procedures to reflect new requirements, provide relevant information to staff, and stay informed about the next change, advisory, or guidance to be issued. In addition, they must manage and implement numerous regulatory guidances and monitoring reports. All of this is designed to avoid consumer harm and compliance violations for their financial institution. Since they often wear many hats, it’s easy for a monthly review or annual report to slip through the cracks. This program will journey through a year in the life of a compliance officer, including required training, risk assessments, reviews, reports, and audits. Useful tools and a sample annual calendar will be provided.


This informative session will benefit compliance officers, compliance staff, and internal auditors.


  • Sample compliance officer job description
  • Sample compliance council charter
  • Sample policy review schedule
  • Board and employee training documentation record
  • Employee training log
  • Interactive quiz
  • PDF of slides and speaker’s contact info for follow-up questions
  • Attendance certificate provided to self-report CE credits

NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your institution is prohibited. Print materials may be copied for eligible participants only.


"The checklists that are available are extremely helpful! Dawn did an amazing job."
- Penny, First Security Bank

Presented By

Dawn KincaidDawn Kincaid
Brode Consulting Services, Inc.