New Compliance Officer Boot Camp

Aug 24, 2017 03:00pm -
Aug 24, 2017 04:30pm

Event Description

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!


  • 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


Attendance verification for CE credits provided upon request.

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.


If you are having issues with registering online, please contact CBAO's Education & Training Coordinator, Lianne Simeone, (614) 610-1877.

Event Type:Webinar &/or On-Demand Link/CD
Early registration ends on Jul 19, 2017.
Regular registration starts on Jul 20, 2017 and ends on Aug 24, 2017.
Late registration starts on Aug 25, 2017.
(GMT-05:00) Eastern Time (US & Canada)


Registration Fees
Fee TypeEarlyRegularLate
 Live Webinar
Member Fee: $265.00$265.00$290.00
Non-Member Fee: $400.00$400.00$425.00
 Additional Hookups
Member Fee: $175.00$175.00$175.00
Non-Member Fee: $260.00$260.00$260.00
 Recorded Webinar + Free Digital Download
Member Fee: $345.00$345.00$345.00
Non-Member Fee: $490.00$490.00$490.00
 Both Live Webinar and Recorded Webinar + Free Digital Download
Member Fee: $395.00$395.00$420.00
Non-Member Fee: $600.00$600.00$625.00