New Community Bank Compliance Officer Workshop – 2 Part Series
Limited Spots available! Join us for these special 2 ½ hour classes and workshops for community bankers to develop the community bank Compliance Officer skillset for achieving satisfactory reviews.
Part 1 begins by establishing the Role, Responsibilities and Career Path of the Community Bank Compliance Officer.
Part 2 is about execution and picks up to refine the requirements as building blocks to create your own Compliance Management System (CMS) while managing key relationships for a successful program.
Community Bank Compliance Officers (COs) face intensified pressure from escalating cyber threats, complex new tech like AI, increased third-party risks, and a constant flood of new or changing regulations. Congratulations! You are brand new to this role! Now what?
The Compliance Officer Role
Job Description and Responsibilities
Key compliance processes and operations
The Regulatory environment
Career Enhancement & Path
A workbook with reference materials and worksheets from workshop
The Compliance Management System Workshop – Part 2
Community bank Compliance Officers (COs) face intensified pressure from escalating cyber threats, complex new tech like AI, increased third-party risks, and a constant flood of new or changing regulations. Congratulations! You are brand new to this role! Now what?
Recapping Part 1
The CMS Overview
Steps to Building a CMS Team
The CMS in Practice
Addressing common community bank CMS Challenges
Working with Board and Senior Management
Success Strategies for Long Term Compliance Leadership
A workbook with reference materials and worksheets from workshop
What You’ll Learn
As always, we will begin with the basic regulatory requirements. We will share common errors, audit exceptions and exam findings to highlight potential gaps in your CMS. Finally, we will break into workshop groups to explore common questions and the operationalizing of compliance at your institution, including tips on developing internal controls to assist you. We will share in a “cameras on”, “microphones on” mode during the workshops.
Who Should Attend
This workshop will be a starting point for CO newbies, and a foundational class for those intrigued by the role or fairly new in the role. It is a need for those with hands-on responsibilities for compliance in the bank to obtain an understanding of the critical elements of a Compliance Management System. This can include aspiring compliance officers, Compliance Officers, risk managers, auditors, or anyone that must manage the compliance function in a community bank.
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