A Year in the Life of a Compliance Officer

Compliance Human Resources Senior Management

On-Demand Webinar:

StreamedNov 29, 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

See Registration Options

Do you see your life laid out before you?

If you’re a compliance officer, this webinar could be your roadmap. Compliance officers must stay abreast of and track an overabundance of policies, procedures, regulations, and deadlines. This webinar is the perfect onramp to the tools, tips, and sample calendars compliance officers need to steer your institution in the right direction.

AFTER THIS WEBINAR YOU’LL BE ABLE TO:

Use provided checklists to track your responsibilities
Implement tracking methods for everything from policy approvals to exam findings
Enhance your change management process to address new and updated regulatory requirements
Establish an effective training program
Effectively report compliance matters to the board
Understand the tools and resources available to you

WEBINAR DETAILS

Compliance officers’ duties are broad. They must manage regulatory compliance dates (that can change on short notice), update policies and procedures to reflect new requirements, provide relevant information to staff, and stay informed about the next change, advisory, or guidance to be issued. In addition, they must manage and implement numerous regulatory guidances and monitoring reports. All of this is designed to avoid consumer harm and compliance violations for their financial institution. Since they often wear many hats, it’s easy for a monthly review or annual report to slip through the cracks. This program will journey through a year in the life of a compliance officer, including required training, risk assessments, reviews, reports, and audits. Useful tools and a sample annual calendar will be provided.

WHO SHOULD ATTEND?

This informative session will benefit compliance officers, compliance staff, and internal auditors.

TAKE-AWAY TOOLKIT

Sample compliance officer job description
Sample compliance council charter
Sample policy review schedule
Board and employee training documentation record
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.