12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET
Whether you are a new compliance officer or simply want to affirm your compliance responsibilities are being fulfilled, this is the webinar for you! Examiners’ expectations for your financial institution’s compliance management system (CMS) cover a wide range of areas for a compliance officer, whether new or seasoned. This webinar is designed to help compliance officers tackle their numerous compliance responsibilities and will provide tips and tools to manage this role.
As a compliance officer, the board, management, and regulators will expect you to provide answers and support for any compliance-related questions. You will also be expected to develop and maintain a well-documented, effective, risk-based compliance program and stay current with the ever-changing regulatory environment, while also managing the three pillars of the FFIEC Consumer Compliance Rating System. This session will provide the training, insight, and tools to ensure compliance officers’ success!
Attendance certificate provided to self-report CE credits.
- Breakdown of compliance exam grading pillars of the FFIEC Consumer Compliance Rating System
- Tips and tricks for finding current compliance information and how to remain organized
- How to implement an effective compliance team to manage compliance responsibilities
- Using the risk assessment to develop a customized review schedule
- Compliance training for employees and the board
- Effective board reporting – what’s in a compliance officer’s report to the board?
- Implementing exception tracking and best practices for tracking audit/exam exceptions
- Review of upcoming regulatory topics and how to document and ensure compliance
- TAKE-AWAY TOOLKIT
- Sample administrative compliance policy
- Compliance officer job description
- Compliance review schedule
- Compliance committee sample agenda
- Risk assessment template
- Customizable monitoring form
- Sample board report snapshot
- Findings tracking report template
- Employee training log
- NEW – Interactive quiz
WHO SHOULD ATTEND?
This informative session is designed for new compliance officers seeking guidance on their dynamic job responsibilities and implementing an effective compliance management system. It will also benefit seasoned compliance officers who want to fine-tune their compliance management system.
"Year-End Compliance Checklist"
Wednesday, November 13, 2019
NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your financial institution is prohibited. Print materials may be copied for eligible participants only.