This webinar will look at the expectations and 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 or enhance your current CMS.
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. While 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. Establishing a healthy CMS is also a process that takes time. It’s not a one-and-done process. It’s a process that evolves and continually changes.
Covered Topics
- Board and Senior Management Oversight
- The Role of the Compliance Officer(s) / Compliance Team
- Risk Assessments
- Effective Policies, Procedures & Processes
- Training
- Audits & Monitoring
- Complaint Management
- Reporting
- 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.
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.
View Delivery OptionsInstructor
David Dickinson
David’s banking career began as a field examiner for the FDIC in 1990. He later became a Compliance Officer and Loan Officer for a small bank. In 1993, he established Banker’s Compliance Consultin... read more.
