Compliance Management Systems
On-Demand Webinar:
StreamedJun 6, 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
It’s been talked about for years, but what is a compliance management system and how is one put together?
What
components should be included? What are the best practices? Take this
opportunity to learn from the mistakes of others as a real-life case study will
be examined.
AFTER
THIS WEBINAR YOU’LL BE ABLE TO:
- Understand what regulators are looking for in a compliance management system (CMS)
- Use examination checklists as a policy/procedure guideline
- Define what constitutes an unfair, deceptive, or abusive act or practice
- Explain how an effective CMS benefits your organization
- Distinguish between regulatory violations, examiner recommendations, and regulator guidance
WEBINAR DETAILS
This webinar will explore the regulatory agencies’ CMS
expectations and best practices. Going beyond written policies, it will look at
the interplay between those policies, your internal and external compliance
training needs, CMS documentation, and program monitoring. It will also address
handling and tracking consumer complaints and how they can be used to identify
CMS shortcomings. An enforcement action will be used to examine the steps one
institution had to take to correct significant deficiencies in its consumer
compliance areas. Learn the key components your CMS should address, including
board and management oversight, compliance program, service provider oversight,
and identification and correction of violations.
WHO SHOULD ATTEND?
This informative session
will benefit compliance personnel (whether dedicated specifically to compliance
or charged with compliance within a specific department), auditors, and
supervisory/audit committee members.
TAKE-AWAY TOOLKIT
- Model compliance policy
- CMS program outline
- Spreadsheet for tracking consumer complaints
- Consumer complaint resolution process model
- 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.
TESTIMONIALS
"I enjoyed the very 'matter-of-fact' delivery of an important topic that affects all financial institutions. Thank you (Mahalo)!"
- Mark, Hawaii Law Enforcement Federal Credit Union
Presented By
Compliance Plus, Inc.
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