Webinar: A Year in the Life of a Compliance Officer
November 6, 2025 3:00 pm - 4:30 pm
Is your job a maze of multiple, competing requirements?
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 on-ramp to the tools, tips, and sample calendars compliance officers need to steer your institution in the right direction.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
- Use provided checklists to track your responsibilities
- Implement tracking methods for everything from policy approvals to exam findings
- Enhance your institution’s change management process to address new and updated regulatory requirements
- Establish an effective training program
- Effectively report compliance matters to the board
- Understand the tools and resources available to you
WEBINAR DETAILS
The number of regulations financial institutions are subject to is vast, while the number of hours in a day, week, and year are finite. Compliance officers (COs) 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. In addition, COs manage and implement numerous regulation guidances and monitoring reports – all of which are designed to avoid consumer harm and compliance violations. Since COs often wear many hats, it’s easy for a monthly review or annual report to slip through the cracks. This session will journey through a year in the life of a compliance officer, including required training, risk assessments, reviews, reports, and audits. Useful tools, including a sample annual calendar, will be provided.
WHO SHOULD ATTEND?
This informative session will benefit compliance officers, compliance personnel, and internal auditors.
TAKE-AWAY TOOLKIT
- Sample compliance officer job description
- Sample compliance council charter
- Sample policy review schedule
- Board and employee training documentation record
- Employee training log
- Interactive quiz
- PDF of slides and speaker’s contact info for follow-up questions
- Attendance certificate provided to self-report CE credits
Speaker: 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 the 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.