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!
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.