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New Compliance Officer Boot Camp

Tuesday, August 22, 2017

9:00 am – 10:30 am HST
12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET

Examiners’ expectations for your financial institution’s compliance management system (CMS) cover a wide range of areas for a compliance officer, whether new or seasoned. You may be asked questions such as, “Do you have a policy and procedures for that?” “Can I see your risk assessment?” “Can you provide Compliance Committee minutes for the past 12 months?”

As a new compliance officer, management, the board, and regulators will expect you to provide answers and support for these questions and more. You will also be expected to develop and maintain a well-documented, effective, risk-based compliance program and stay current with the ever-changing regulatory environment, including the three pillars of the new FFIEC Consumer Compliance Rating System, which became effective March 31, 2017. This new standard will be used by examiners during your next exam. This session will provide the training, insight, and tools to ensure success!

Continuing Education: Attendance verification for CE credits upon request

HIGHLIGHTS

  • Navigating the regulatory alphabet soup
  • Components of an effective compliance management system
  • Getting the most out of your compliance committee
  • Communicating effectively with the board and senior management
  • Understanding the three pillars of the new FFIEC Consumer Compliance Rating System
  • Comprehensive compliance training schedule for employees and the board

  • TAKE-AWAY TOOLKIT
    • Sample administrative compliance policy
    • Compliance officer job description
    • Compliance review schedule
    • Compliance council sample agenda
    • Risk assessment template
    • Monitoring form that you can customize
    • Sample board report snapshot
    • Findings tracking report template
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key

WHO SHOULD ATTEND?

This informative session is designed for new compliance officers seeking guidance on how to orchestrate and apply a risk-based approach and take their institution’s compliance function to the next level while maintaining efficiency and effectiveness. It will also be beneficial to seasoned compliance officers to fine-tune the compliance management system.

PLEASE NOTE: Program content is subject to copyright and intended for your individual financial institution’s use only.

MEET THE PRESENTER