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Establishing a Culture of Compliance

Whether you’re a rookie compliance officer or a seasoned veteran, you need the right tools to help you manage your increasing compliance responsibilities and achieve a compliance rating for your financial institution that is worthy of mounting on the wall. This session will provide you with the checklists, tools, and resources you need to manage the mackerel that is compliance.

Upcoming
Wednesday, October 30th, 2024
10:00 am - 12:00 pm
Presented by Dawn Kincaid
2.5 CRCM Credits
$299.00 or 1 Token

Includes: Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Auditing
  • Compliance
  • Deposit Compliance
  • General Compliance
  • Lending Compliance
  • Compliance Officer
  • Internal Auditor
  • Risk Manager
  • Training Manager
  • Trainer

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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.

Dawn Kincaid

Instructor Bio

Dawn Kincaid began her banking career while attending The Ohio State University. She has 19 years of 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.

Continuing Education Credit Information

Establishing a Culture of Compliance has been approved for 2.5 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for both Live and OnDemand viewing. For questions on certificates, please email support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.

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