Risk management is more complex than ever before. Risk officers play a critical role at your financial institution and need the right tools and training to succeed!
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Each risk officer, including the compliance officer, risk management officer, security officer, and those responsible for AML/BSA – whether new or seasoned – is considered the expert at their institution. It’s important that these critical staff members stay abreast of changing technology and the regulatory environment. So how can you effectively assess, measure, and control risk? Although there is no one-size-fits-all strategy, this webinar series will provide training, insight, resources, and tools to ensure success!
- The 15 Worst Security Mistakes
- A Year in the Life of a Compliance Officer: Tips, Tools & Annual Requirements
- Advanced BSA Officer Training: Risk, Compliance & Real-Life Scenarios
- Risk Management Officer: Expectations & Responsibilities
Session Dates & Descriptions
Click on presenters’ names below for more information.
September 17, 2020
The 15 Worst Security Mistakes
Barry Thompson, Thompson Consulting Group, LLC
There are hundreds of ways to make critical security mistakes within a financial institution — and little time to deal with the aftermath. This session will identify the 15 worst security mistakes that consultants find at financial institutions and how to correct them. The mistakes and remedies will be drawn from extensive consulting experiences across the country.
October 8, 2020
A Year in the Life of a Compliance Officer: Tips, Tools & Annual Requirements
Dawn Kincaid, Brode Consulting Services, Inc.
Each day compliance officers work to manage and implement numerous regulations, guidance, and monitoring reports – all to protect their financial institution from violations and avoid consumer harm. But since they often wear many hats, it’s easy for a monthly review or annual report to slip through the cracks. This program will walk 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 for compliance officers will be provided.
October 27, 2020
Advanced BSA Officer Training: Risk, Compliance & Real-Life Scenarios
Susan Costonis, Compliance Consulting and Training for Financial Institutions
During exams, BSA examiners are digging deeper and have begun to ask more questions about high-risk activities. Will your BSA/AML program pass the next exam? BSA/AML programs must be constantly updated because of the evolving threats of money laundering, financial crimes, cybersecurity, elder financial exploitation, and regulatory changes. This webinar will highlight hot issues and provide key take-aways that will enhance your BSA/AML program.
November 17, 2020
Risk Management Officer: Expectations & Responsibilities
Molly Stull, Brode Consulting Services, Inc.
Risk management officers fulfill a robust role. They must understand the institution’s compliance risks, confirm that appropriate monitoring and testing are conducted, and ensure that both internal and external changes are properly managed. A working knowledge of the numerous compliance regulations is essential to ensure that the institution is generating compliant documents. In addition, communication with the board, management, and staff is a critical element of success. This webinar will provide the tools and best practices necessary to manage and fulfill the expectations and responsibilities of being a risk management officer.