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A Year in the Life of a Compliance Officer: Tips, Tools & Annual Requirements

Oct 06 2:00 PM - Oct 06, 2020 3:30 PM
Oct 06, 2020 2:00 PM - 3:30 PM

If you wear the compliance “hat,” this must-attend webinar is for you! It will address a compliance officer’s reporting requirements throughout the course of a year and provide tips, tricks, and tools to succeed.

Learning Objectives

  • Utilize checklists to track your responsibilities
  • Implement tracking methods for everything from policy approvals to exam findings
  • Establish an effective training program
  • Effectively report compliance matters to the board
  • Understand tools and resources available to you

Each day compliance officers work to manage and implement numerous regulations, guidance, and monitoring reports – all to protect their financial institution from violations and avoid consumer harm. But since they often wear many hats, it’s easy for a monthly review or annual report to slip through the cracks. This program will walk through a year in the life of a compliance officer, including required training, risk assessments, reviews, reports, and audits. Useful tools and a sample annual calendar for compliance officers will be provided.

Agenda

Speakers

Dawn Kincaid, Brode Consulting Services, Inc.

Dawn Kincaid began her banking career while attending The Ohio State University. She has 19 years’ experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Dawn 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 implementation of new products and services. Dawn 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.

Location

Fees

$259.00 

Live and recorded webinar, handouts, quiz with answer key and training log are included.

Your registration includes access from up to three locations, making it easier to share and learn with remote staff during the coronavirus crisis. Training materials will be available to download the day of the event.

Additional Info

Risk Officer Series

This webinar is also available as part of a four-part series. Purchase the full series of four webinars for $933 and save over $100.

Learn more >>

Event Type

Webinar

Topics Covered

  • Compliance
  • Live Webinars
  • Fraud, Security & Technology