A strong Compliance Management System (CMS) is essential for managing regulatory risk, protecting customers, and supporting a culture of compliance throughout the organization.
This program explores the three foundational pillars of an effective CMS, board and management oversight, a comprehensive compliance program, and independent testing and monitoring, and provides practical guidance for strengthening each area.
Participants will learn how these components work together to identify risks, establish accountability, implement effective policies and procedures, and verify ongoing compliance. Whether enhancing an existing CMS or building a stronger framework, this session provides valuable insights and tools to help institutions create a proactive, sustainable approach to compliance management.
What You’ll Learn
- Understand the three key pillars of an effective Compliance Management System (CMS) and how they support a strong compliance culture.
- Learn the roles and responsibilities of the board, management, and employees in overseeing compliance risk.
- Identify the essential elements of a comprehensive compliance program, including policies, procedures, training, risk assessments, and monitoring.
- Understand the importance of independent compliance testing and monitoring in evaluating program effectiveness.
Who Should Attend
This webinar will benefit anyone responsible for the operations or oversite of the Compliance Management System including compliance and risk professionals.