Compliance Management

This webinar will look at the expectations/requirements related to a financial institution’s Compliance Management System (CMS). You will learn how best to utilize your resources to create an effective CMS, as well as, improve and/or enhance your current CMS.

Covered Topics

  • Active board and senior management oversight;
  • Risk Assessments;
  • Effective policies and procedures;
  • Training;
  • Audits & Monitoring;
  • Complaint Management;
  • Reporting; and,
  • Culture (the foundation of an effective Compliance Management System).

A message from the Presenter, David Dickinson: Your Compliance Management Systems are a vital and necessary part of your organization’s success. As you look to develop or fine tune your CMS, there are a few things to keep in mind:

  • There is no “recipe” for compliance management. One size does not fit all. There is a basic framework that should be used. What works for one organization may not work for you.
  • To be successful, you’ll need to apply the principles and adjust them to fit your culture, environment, personnel and systems. It’s a job that you’ll never finish because it’s a cycle that continuously repeats. It must be evaluated and adjusted as new rules and requirements are issued and as your personnel changes.
  • Establishing a healthy CMS is a process that takes time – LOTS of time. It’s not a one and done process. It’s a process that evolves and continually changes.

Who Should Attend?

This webinar is designed for anyone involved in a bank’s compliance management system. This may include compliance officers, auditors, management, directors, etc.