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The One Conference

March 3 @ 8:00 am - March 4 @ 5:00 pm

$345
the one conference

Regulatory Compliance – Assigning Responsibility

Presenter: Brian Crow, Managing Partner & Co-President, TCA®

The volume of compliance regulations for which your financial institution is responsible continues to expand. Ten years after the passage of the Dodd-Frank Act, the CFPB is still writing regulations to implement that Act. The compliance officer is ultimately responsible for providing oversight of the institution’s compliance function, but compliance is not solely that individual’s responsibility. In order to have a successful compliance management system, compliance must be the responsibility of all employees within the organization, starting with the board of directors who establish a culture of compliance to front-line staff that carries out day-to-day functions. In this session, we explore the responsibilities for staff, management, departments heads, compliance department, and audit to help you evaluate the compliance structure within your organization.

Learning Objectives:

  1. Understand the components of a compliance management system and the role that each employee plays.
  2. Explore responsibilities of three lines of defense for compliance monitoring and audit
  3. Evaluate case studies to understand what areas of compliance management broke down.

Details

Start:
March 3 @ 8:00 am
End:
March 4 @ 5:00 pm
Cost:
$345
Website:
https://illinois.bank/Education-Events/Conferences-Events/The-One

Venue

Embassy Suites Peoria
100 Conference Center Drive
East Peoria, IL 61611 United States
+ Google Map
Phone:
1-888-728-3025
Website:
https://www.hilton.com/en/book/reservation/rooms/?ctyhocn=PIAESES&arrivalDate=2022-03-02&departureDate=2022-03-04&room1NumAdults=1&cid=OMWWHILTONLINKenDirectLink

Organizer

Illinois Bankers Association

Do You Need Compliance Help?

We’re here to review your current compliance strategy and help you find A Better Way to manage risk.

Phone

800-934-REGS

Email for Non-Confidential Information Only

[email protected]

Office Location

2021 Midwest Road, Suite 200,
Oak Brook, IL 60523

Endorsed By