Compliance Management Webinar

CFT Credits: 0.25

We will discuss the expectations/requirements, how to improve/enhance them and how to best utilize your resources to create an effective Compliance Management System.

Webinar Description and Intended Audience

Join us for a two-hour webinar on Compliance Management. All banks should have an effective Compliance Management System. 

We will discuss the expectations/requirements, how to improve/enhance them and how to best utilize your resources to create an effective Compliance Management System.

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).

An Important Note from the Presenter, David Dickinson:

I was an FDIC Field Examiner, a Loan Officer and then I started Banker’s Compliance Consulting in 1993 (25 years ago). During the course of my career, I’ve had the privilege of working with hundreds of financial institutions in many different ways and our company has had the opportunity to serve hundreds more. From these experiences, I’ve seen many different ways to “do” compliance – some successful and some not.

There is no “recipe” for compliance management. One size does not fit all. However, there is a basic framework that should be used by your Board, Management and Compliance Officer to design and maintain a healthy Compliance Management System (CMS). But, what works for one institution may not work for you.

During this training, we will discuss:

  • The Challenging Environment we face
  • Meeting the Challenge
  • The Role of the Board of Directors & Management
  • The Role of the Compliance Officer / Team
  • Risk Management and Risk Assessments
  • Policies, Procedures and Processes
  • Training
  • Internal and External Reviews
  • Complaint Management
  • Revisiting the Program
  • Culture / Organizational Health
  • Managing Regulatory examinations

We’ll talk through the principles of the CMS and discuss how to adjust them to fit your culture, environment, personnel and systems. It’s a job that you’ll never finish and you can’t check it off your list. In fact, it’s a cycle that continuously repeats. It must be evaluated and adjusted as new rules and requirements are issued and as your personnel change. Establishing a healthy CMS is a process that takes time – LOTS of time.

It is my desire that you’ll glean thoughts from this training and consider what will work for you. I also hope you’ll be more intentional about your CMS from the things you learn at this unique training.

Who Should Attend?

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

Note: For this webinar, all questions submitted before or during the webinar will be answered during the live webinar, even if the time required exceeds two hours. If you register for any of our options (Live, OnDemand, CD) and would like to pre-submit questions before the live webinar date, please email those to info@ttstrain.com. When planning for the webinar, please allow extra time at the end if you wish to hear the Q&A. We regret that questions cannot be answered after the live webinar.

Webinar Viewing Options

LIVE WEBINAR:                                              

INCLUDES 7 DAYS OF UNLIMITED ONDEMAND PLAYBACK!  With this option, you will participate in the webinar live, via the internet. You will login to the webinar on your PC to view the PowerPoint presentation, and you have the option of using your PC speakers or a telephone for the audio. You can type and send your questions to the instructor. Many companies are now running their PC through an LCD projector allowing many employees to participate at the same time.  And don’t worry if you miss the webinar, you can still view it for up to seven days after it takes place!


With this option, you will receive an e-mail that contains a link to the PowerPoint slides (to download, print, and copy) as well as a link to the media player where you will view and hear the entire webinar just as it was delivered, featuring the full-color PowerPoint presentation with audio. You can pause, fast-forward and rewind as needed, which makes it a very effective training tool. The OnDemand Video will be available to you (and anyone else in the company) for six months and can be accessed 24/7 as many times as you wish. Delivered via e-mail the day after the webinar takes place.


If you do not have internet access or want to make the webinar part of your training library, the CD-ROM Recording is a great option for viewing a webinar. You can pause, fast-forward and rewind as needed, which makes it an effective training tool.  With this option, you will receive a download of any applicable handouts and a CD-ROM (featuring the full-color PowerPoint presentation with audio) via regular mail. Mailed 7 to 10 days after the webinar takes place.


Webinars can be scheduled and offered exclusively for your company.  They can even be customized to best fit your needs.  To find out more, please complete the in-house request form found in the Schedule and Registration Information section below.

Continuing Education (CE) Credits

This webinar is recommended for 2.5 CE Credit Hours. Each attendee will receive a Certificate of Attendance for self-reporting of CE Credits.

Register Here!

Choose the viewing option that best suits your needs. Live Webinar times are shown as Eastern Time. You can choose to pay by credit card or invoice when you register. CFT Credit will be awarded to the registrant, unless directed otherwise (additional attendees can also receive credit for an additional fee). CFT Webinars are powered by Total Training Solutions!

Webinar DateStart TimeEnd DateEnd TimeViewing Options - See Descriptions AbovePrice
08/15/19CD-ROM Video Recording$345.00Order
08/15/1911:00 AM08/15/1901:00 PMLive Webinar$265.00Register
08/15/19Six Month On-Demand Recording$295.00Order
08/15/1911:00 AM08/15/1901:00 PMLive and On-Demand$365.00Register
08/15/1911:00 AM08/15/1901:00 PMLive, On-Demand, CD-ROM$395.00Register