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
If you wear the compliance “hat,” this must-attend webinar is for you! It will address a compliance officer’s reporting requirements throughout the course of a year and provide tips, tricks, and tools to succeed.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
- Utilize checklists to track your responsibilities
- Implement tracking methods for everything from policy approvals to exam findings
- Establish an effective training program
- Effectively report compliance matters to the board
- Understand tools and resources available to you
Each day compliance officers work to manage and implement numerous regulations, guidance, and monitoring reports – all to protect their financial institution from violations and avoid consumer harm. But since they often wear many hats, it’s easy for a monthly review or annual report to slip through the cracks. This program will walk 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 for compliance officers will be provided.
Attendance certificate provided to self-report CE credits.
WHO SHOULD ATTEND?
This informative session is designed for compliance officers and internal auditors.
- Sample compliance officer job description
- Sample compliance council charter
- Sample policy review schedule
- Sample annual calendar
- Employee training documentation record
- Employee training log
- Interactive quiz
NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your financial institution is prohibited. Print materials may be copied for eligible participants only.