Establishing a Culture of Compliance

This session will provide you with the checklists, tools, and resources you need to manage the mackerel that is compliance.

Whether you are a rookie compliance officer or a seasoned veteran, you need the right tools to help you manage your increasing compliance responsibilities and achieve a compliance rating for your bank that is worthy of mounting on the wall.

Establishing a Culture of Compliance 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 support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.

What You’ll Learn

• Utilizing Checklists – A review of daily, weekly, monthly, quarterly and annual checklists that can help you track your responsibilities and focus on the big catch.
• Implementing Tracking Methods – A discussion of best practices for tracking everything from policy approvals to audit and exam exceptions.
• Establishing an Effective Training Program – A thorough discussion of going beyond simply “chumming” a topic out to the staff, including how to document and track your employee’s training efforts.
• Effective Board Reporting – A discussion of how to make your compliance reports to management and the board efficient and thorough.
• Awareness of Current Regulatory Hot Buttons – A review of current and upcoming regulatory topics entering the waters and how you can best prepare.
• Understanding of Tools and Resources Available to You – A discussion of how to avoid feeling like you are on an island as a compliance officer including tips and tricks for where to locate up-to-date compliance information and how to remain organized.

Who Should Attend?

This informative session is designed for Compliance Officers and Internal Auditors

Presenter Bio

Dawn Kincaid began her banking career while attending The Ohio State University. She has 19 years of experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Kincaid served as the Senior Vice President of Operations for a central-Ohio-based community bank, where she created and refined policies and procedures, conducted self-audits and risk assessments, and organized the implementation of new products and services. Kincaid has served in the roles of Compliance, BSA/AML, CRA, Privacy, and Security Officer. She has led training initiatives, prepared due diligence information, completed a variety of regulatory applications, coordinated internal and external audits, and exams, and presented for numerous state associations.

Registration Options

Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts $279

• Available Upgrades:
  • 12 Months OnDemand Playback + $110
  • 12 Months OnDemand Playback + CD + $140
  • Additional Live Access + $85 per person