Compliance Management System Overview & Best Practices
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.
