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Managing an Effective Compliance Program
March 11 @ 9:00 am - March 12 @ 12:00 pm$249
Effective compliance management requires a mastery of both compliance know-how plus people and project management skills. This program examines strategies for effective compliance management featuring a detailed CMS model discussion with a focus on risk assessments, vendor management, and complaint response. The session applies the compliance infrastructure and regulation foundation to your day-to-day needs and job demands, with a focus on the most pressing issues and topics.
Agenda – Day 1 – 9:00 a.m. – 12:00 p.m.
- Laws/regulations and bank’s involvement in the process
- Current regulatory trends
Compliance Management Systems
- Board and management oversight
- Comprehensive program
- Policies and procedures
- Risk assessment
- Change control
- Maintaining compliance competence
- Vendor management (from the compliance officer’s perspective)
- Corrective action
Agenda – Day 2 – 9:00 a.m. – 12:00 p.m.
- Identifying activities that need to be periodically monitored
- Identifying how often monitoring should occur
- Reporting monitoring findings
- Tracking identified issues
- Independing Reviews
- Identifying areas, rules, or activities
- Determining frequency
- Process review, transaction testing, or both
- Formal response to written complaints (includes e-mail)
- Direct from consumers
- Through regulatory agencies
- Through Better Business Bureau or other sources
- Responding to verbal complaints
- Tracking complaints (including verbal) to identify:
- Possible UDAAP issues
- Possible fair lending issues
Preparing for Examination
- Planning ahead
- Being prepared
- Controlling the examiner interview process
- Handling exceptions
- Participating in the “wrap up” meeting
- Potential penalties
Michelle Strickland, CRCM, is managing partner and co-president at TCA. Her banking background includes consumer, residential and secondary market loan processing, and most recently at a large Indiana bank, responsibility for loan servicing, commercial loan processing and documentation, and residential and consumer loan processing and documentation.
Brian Crow, CAMS, managing partner and co-president at TCA, is a nationally recognized Reg E and BSA/AML expert. He is an education consultant for the Glia Group BOL Learning Connect program, conducting webinars that cover Visa/MasterCard chargebacks, debit card compliance and fraud prevention. Crow was recognized as a Bankers Online Guru in 2011.
ABA 7.25 CRCM Credits
Per Person Fee
(Includes OnDemand Access through May 12, 2021)
M $249 / NM $419