Events Calendar

Risk Officer Series Webinar: A Year in the Life of a Compliance Officer: Tips, Tools & Annual Requirements
Tuesday, October 06, 2020, 03:00pm - 04:30pm

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.


  • 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.


This informative session is designed for compliance officers and internal auditors.


  • Sample compliance officer job description
  • Sample compliance council charter
  • Sample policy review schedule
  • Sample annual calendar
  • Employee training documentation record
  • Employee training log
  • Interactive quiz

SPEAKER:  Dawn Kincaid, Brode Consulting Services, Inc.

Dawn Kincaid began her banking career while attending The Ohio State University. She has 17 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.