Compliance Management Systems
On-Demand Webinar
StreamedJun 6, 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
It’s been talked about for years, but what is a compliance management system and how is one put together?
What
components should be included? What are the best practices? Take this
opportunity to learn from the mistakes of others as a real-life case study will
be examined.
AFTER
THIS WEBINAR YOU’LL BE ABLE TO:
- Understand what regulators are looking for in a compliance management system (CMS)
- Use examination checklists as a policy/procedure guideline
- Define what constitutes an unfair, deceptive, or abusive act or practice
- Explain how an effective CMS benefits your organization
- Distinguish between regulatory violations, examiner recommendations, and regulator guidance
WEBINAR DETAILS
This webinar will explore
the regulatory agencies’ CMS expectations and best practices. Going beyond
written policies, it will look at the interplay between those policies, your
internal and external compliance training needs, CMS documentation, and program
monitoring. It will also address handling and tracking consumer complaints and
how they can be used to identify CMS shortcomings. An FDIC enforcement action
will be used to examine the steps one institution had to take to correct
significant deficiencies in its consumer compliance areas. Learn the key
components your CMS should address, including board and management oversight,
compliance program, service provider oversight, and identification and
correction of violations.
WHO SHOULD ATTEND?
This informative session will
benefit compliance personnel (whether dedicated specifically to compliance or
charged with compliance within a specific department), auditors, and audit
committee members.
TAKE-AWAY TOOLKIT
- Model compliance policy
- CMS program outline
- Spreadsheet for tracking consumer complaints
- Consumer complaint resolution process model
- 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.
TESTIMONIALS
"Great coverage of content and downloadable tools as takeaways."
- Melinda, Jonestown Bank & Trust Co.
Presented By
Compliance Plus, Inc.
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