Compliance Management System Overview & Best Practices

Compliance Information Technology Senior Management

On-Demand Webinar:

StreamedApr 17, 2025Duration90 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

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Although regulatory agencies stress the importance of having a robust compliance management system (CMS), financial institutions have had a lot of leeway in creating them.

What’s the state of your CMS? Does it follow industry standards? How does it address risk management? Join regulatory compliance counsel Michael Christians for this jam-packed webinar that will provide an overview of, and best practices for, your institution’s CMS.

AFTER THIS WEBINAR YOU’LL BE ABLE TO:

Understand the appropriate structure for a compliance management system
Identify the various types of risk that affect your financial institution
Effectively use change management resources
Appropriately draft compliance-specific policies
Distinguish the critical elements of a consumer complaint response program

WEBINAR DETAILS

Financial institutions are expected to take a wholistic approach to risk management in 2025. With several variations of risk posing challenges to your institution, the only way to successfully accomplish this is by establishing an enterprise-wide compliance management system. This program will include information regarding:

CMS structure
Risk management
Laws and regulations
Change management
Training
Monitoring and corrective action
Vendor due diligence
Consumer complaint response

WHO SHOULD ATTEND?

This session is designed for compliance officers, risk management personnel, internal auditors, staff trainers, management, and board members.

TAKE-AWAY TOOLKIT

CMS desktop reference guide
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.