Simplifying the Compliance Function: Tools & Checklists to Stay on Track

Compliance Operations

On-Demand Webinar

StreamedFeb 4, 2025Duration90 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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What if the compliance function could be simplified?

What if you could garner a host of tools and checklists designed to assist with reviewing policies, conducting training, and monitoring for adequate consumer compliance? What if all of the above was contained in one informative webinar? Could you afford to miss it? Don’t let this important training pass you by!

AFTER THIS WEBINAR YOU’LL BE ABLE TO:

Develop an effective compliance training program
Use provided tools to develop a board policy review schedule
Explain how to effectively develop a monitoring checklist
Identify resources to aid in compliance research
Stay abreast of regulatory announcements and trends
Utilize a compliance council to assist with the compliance program

WEBINAR DETAILS

Compliance staff are critical to the success of your institution’s next consumer compliance examination. With few hard deadlines, it is easy to get sidetracked and to put things off – and then suddenly to be faced with a long list to be accomplished in a short time. This webinar will provide checklists designed to keep the compliance function on track and focused on issues that pose the greatest risk. In addition, participants will receive a host of tools designed to efficiently tackle the list of required items, assist with timely completion, and stay abreast of regulatory agency trends and announcements.

Compliance is the responsibility of the whole institution. The most critical element of an effective compliance program is an engaged compliance council. This program will share several tools to aid in developing such a council, which will result in a broader consumer compliance base and connect the compliance area to changes occurring across the institution.

WHO SHOULD ATTEND?

This informative session is designed for compliance officers, compliance staff, compliance risk managers, and anyone responsible for the compliance program.

TAKE-AWAY TOOLKIT

Sample compliance council charter
Sample compliance council agenda
Sample policy review schedule
Sample monitoring schedule
Sample compliance training schedule by regulation
Exception tracking log
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

"Excellent information on structuring a compliance program. Also, good time-management skill tips. Tools and checklists are so valuable!"

- Donna, Community National Bank & Trust

"Molly Stull presented a well thought out webinar and provided helpful tools and spreadsheets that we can customize for our needs to provide a successful outcome for our institution. I appreciate her easy-to-comprehend and step-by-step guide. I am new in my role as Compliance Manager and just felt overwhelmed at where to start and how to organize. I feel confident that the Tools and Checklist she provided will help me get on track and stay on track. Thank you!"

- Diana, CNB Bank