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 this role.
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 Rating System
- 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 board
- 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
- TAKE-AWAY TOOLKIT
- Sample administrative compliance policy
- Compliance officer job description
- Compliance review schedule
- Compliance committee sample agenda
- Risk assessment template
- Customizable monitoring form
- Sample board report snapshot
- Findings tracking report template
- Employee training log
- NEW – Interactive quiz
WHO SHOULD ATTEND?
This informative session is designed for new compliance officers seeking guidance on their dynamic job responsibilities and implementing an effective compliance management system. It will also benefit seasoned compliance officers who want to fine-tune their compliance management system.
SPEAKER: Molly Stull, Brode Consulting Services, Inc.
Molly Stull began her career as a teller while working on her undergraduate degree and has continued working in the financial industry ever since. She has experienced the growth of a hometown bank, acquisitions of branches, mergers, charter changes, name changes, etc. Molly has activated business resumption plans, performed secondary market quality control reviews, processed wires, filed SARs, and coordinated reviews with external auditors and examiners. Her favorite role has always been educating staff and strongly believes that if staff understands the reason for a process they will be more compelled to follow the procedures. Molly holds a Bachelor’s from the University of Akron and an MBA from Ashland University.