This webinar will look at the expectations/requirements related to a financial institution’s Compliance Management System (CMS). You will learn how best to utilize your resources to create an effective CMS, as well as improve and/or enhance your current CMS.
Compliance Management Systems are a vital and necessary part of your organization’s success. As you look to develop or fine-tune your CMS, there are a few things to keep in mind. There is no “recipe” for compliance management. One size does not fit all. While there is a basic framework that should be used, what works for one organization may not work for you. To be successful, you’ll need to apply the principles and adjust them to fit your culture, environment, personnel, and systems. Establishing a healthy CMS is also a process that takes time. It’s not a one-and-done process. It’s a process that evolves and continually changes.
- Board and Senior Management Oversight
- The Role of the Compliance Officer(s) / Compliance Team
- Risk Assessments
- Effective Policies, Procedures & Processes
- Audits & Monitoring
- Complaint Management
- Culture (the foundation of an effective Compliance Management System)
Compliance Management has been approved for 2.5 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for Live attendance only. For questions on certificates, please email firstname.lastname@example.org. Certification holders must report these credits at https://aba.csod.com.
Who Should Attend?
This webinar is designed for anyone involved in a bank’s compliance management system including compliance officers, auditors, management, and directors.
David Dickinson’s banking career began as a field examiner for the FDIC in 1990. He later became a compliance officer and loan officer for a small bank. In 1993, he established Banker’s Compliance Consulting. Along with his amazingly talented team, he has written numerous compliance articles for prestigious banking publications and has developed compliance seminars that Banker’s Compliance Consulting produces.
He is an expert in compliance regulations. He is also a motivational speaker and innovative educator. His quick wit and sense of humor transforms the usually tiring topic of compliance into an enjoyable educational experience. David is on the faculty of the Center for Financial Training, the American Bankers Association National Compliance Schools and is a frequent speaker at the ABA’s Regulatory Compliance Conference. He is also a trainer for hundreds of webinars, is a Certified Regulatory Compliance Manager (CRCM), and has been a BankersOnline Guru for many years. The American Bankers Association honored David with its Distinguished Service Award in 2016.
David and his wife Karen have 3 adult children and 2 grandsons (none of whom live at home!) and 3 cats (to which Dave is allergic—the cats, not the children!). They live on a lake in Nebraska and when possible, he can be found fishing or making sawdust in his shop. David plays the guitar and piano and enjoys singing with Karen. They occasionally lead worship at their church.
Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts $299
- Available Upgrades:
- 12 Months OnDemand Playback + $120
- 12 Months OnDemand Playback + Digital Download +$150
- Additional Live Access + $95 per person