Compliance Management

Aug 14, 2018 11:00am -
Aug 14, 2018 01:00pm
(GMT-5)

Event Description

We will discuss the expectations/requirements, how to improve/enhance them and how to best utilize your resources to create an effective Compliance Management System.

Topics Covered:

  • Active board and senior management oversight;
  • Risk Assessments;
  • Effective policies and procedures;
  • Training;
  • Audits & Monitoring;
  • Complaint Management;
  • Reporting; and,
  • Culture (the foundation of an effective Compliance Management System).

Learning Objectives

  • The Challenging Environment we face
  • Meeting the Challenge
  • The Role of the Board of Directors & Management
  • The Role of the Compliance Officer / Team
  • Risk Management and Risk Assessments
  • Policies, Procedures and Processes
  • Training
  • Internal and External Reviews
  • Complaint Management
  • Revisiting the Program
  • Culture / Organizational Health
  • Managing Regulatory examinations

We’ll talk through the principles of the CMS and discuss how to adjust them to fit your culture, environment, personnel and systems. It’s a job that you’ll never finish and you can’t check it off your list. In fact, it’s a cycle that continuously repeats. It must be evaluated and adjusted as new rules and requirements are issued and as your personnel change. Establishing a healthy CMS is a process that takes time - LOTS of time.

Who Should Attend?

This webinar is designed for anyone involved in a bank’s compliance management system. This could include compliance officers, auditors, Management, Directors, etc

REGISTRATION OPTIONS

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 26, 2018.
Regular registration starts on Jul 27, 2018 and ends on Feb 13, 2019.
Late registration starts on Feb 14, 2019.
(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
 On Demand Link & "FREE" CD Rom
Member Fee: $345.00$345.00$345.00
Non-Member Fee: $490.00$490.00$490.00
 Both Live & On Demand Link (Includes CD Rom)
Member Fee: $395.00$395.00$420.00
Non-Member Fee: $600.00$600.00$625.00