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A Year in the Life of a Compliance Officer

Jan 06 2:00 PM - Jan 06, 2022 3:30 PM
Jan 06, 2022 2:00 PM - 3:30 PM
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Do you see your life laid out before you? If you’re a compliance officer, this webinar could be your roadmap. Compliance officers must stay abreast of and track an overabundance of policies, procedures, regulations, and deadlines. This webinar is the perfect onramp to the tools, tips, and sample calendars compliance officers need to steer your institution in the right direction.

Learning Objectives

  • Use 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 the tools and resources available to you

Compliance officers’ duties are broad. They must manage regulatory compliance dates (that can change on short notice), update policies and procedures to reflect new requirements, provide relevant information to staff, and stay informed about the next change, advisory, or guidance to be issued. In addition, they manage and implement numerous regulations, guidance, and monitoring reports – all of which are designed to avoid consumer harm and compliance violations for their financial institution. Since they often wear many hats, it’s easy for a monthly review or annual report to slip through the cracks. This program will journey 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.



Dawn Kincaid, Brode Consulting Services, Inc.

Dawn Kincaid began her banking career while attending The Ohio State University. She- has over 20 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.




Additional Info

Event Type

On-Demand Webinar

Topics Covered

  • On-Demand Webinars
  • Compliance