Faster than an upcoming exam, more informed than a compliance novice, and with a neck strong enough to hold all the many hats – it’s a Super Compliance Officer! Each day you don your cape and set out to manage piles of regulation, guidance, and monitoring reports all to protect your financial institution from violations and avoid practices that would result in… consumer harm.
This jam-packed session will go beyond the basics of the consumer regulation requirements applicable to you and your institution and will provide resources and tools to help you strengthen and enhance your compliance program. We will review the fundamentals as well as a dive into the more complex elements of the key deposit and consumer compliance regulations. No spandex required.
What You’ll Learn
- Utilizing Checklists: A review of daily, weekly, monthly, quarterly, and annual checklists that can help you track your responsibilities and focus on the big catch
- Implementing Tracking Methods: A discussion of best practices for tracking everything from policy approvals to audit and exam exceptions
- Establishing an Effective Training Program: A thorough discussion of going beyond simply “chumming” a topic out to the staff, including how to document and track your employees’ training efforts
- Effective Board Reporting: A discussion of how to make your compliance reports to management and the board efficient and thorough
- Awareness of Current Regulatory Hot Buttons: A review of current and upcoming regulatory topics entering the waters and how you can best prepare
- Understanding of Tools and Resources Available to You: A discussion of how to avoid feeling like you are on an island as a compliance officer, including tips and tricks for where to locate up-to-date compliance information and how to remain organized
Who Should Attend
This informative session is designed for compliance officers, risk management officers, and internal auditors.