Whether you are a new compliance officer or simply want to affirm your
compliance responsibilities are being fulfilled, this is the webinar for you!
Examiners’ expectations for your financial institution’s compliance management
system (CMS) cover a wide range of areas for a compliance officer, whether new
or seasoned. This webinar is designed to help compliance officers tackle their
numerous compliance responsibilities and will provide tips and tools to manage
As a compliance officer, the board, management, and regulators
will expect you to provide answers and support for any compliance-related
questions. You will also be expected to develop and maintain a well-documented,
effective, risk-based compliance program and stay current with the ever-changing
regulatory environment, while also managing the three pillars of the FFIEC
Consumer Compliance Rating System. This session will provide the training,
insight, and tools to ensure compliance officers’ success!
- Breakdown of compliance exam grading pillars of the FFIEC Consumer Compliance
- Tips and tricks for finding current compliance information
and how to remain organized
- How to implement an effective compliance team
to manage compliance responsibilities
- Using the risk assessment to develop
a customized review schedule
- Compliance training for employees and the
- Effective board reporting – what’s in a compliance officer’s report
to the board?
- Implementing exception tracking and best practices for
tracking audit/exam exceptions
- Review of upcoming regulatory topics and
how to document and ensure compliance
Molly Stull, Brode Consulting Services, Inc.