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UID:1324-1615453200-1615550400@www.tcaregs.com
SUMMARY:Managing an Effective Compliance Program
DESCRIPTION: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. \nAgenda – Day 1 – 9:00 a.m. – 12:00 p.m. \nRegulatory Process \n\nLaws/regulations and bank’s involvement in the process\nCurrent regulatory trends\n\nCompliance Management Systems \n\nBoard and management oversight\nComprehensive program\n\nPolicies and procedures\nRisk assessment\nChange control\nMaintaining compliance competence\nVendor management (from the compliance officer’s perspective)\nCorrective action\n\n\n\nAgenda – Day 2 – 9:00 a.m. – 12:00 p.m. \nAudit/Review \n\nMonitoring\n\nIdentifying activities that need to be periodically monitored\nIdentifying how often monitoring should occur\nReporting monitoring findings\nTracking identified issues\n\n\nIndepending Reviews\n\nIdentifying areas\, rules\, or activities\nDetermining frequency\nProcess review\, transaction testing\, or both\nOversight\n\n\n\nConsumer Complaints \n\nFormal response to written complaints (includes e-mail)\n\nDirect from consumers\nThrough regulatory agencies\nThrough Better Business Bureau or other sources\n\n\nResponding to verbal complaints\nTracking complaints (including verbal) to identify:\n\nInconsistencies\nPossible UDAAP issues\nPossible fair lending issues\n\n\n\nPreparing for Examination \n\nPlanning ahead\nBeing prepared\nControlling the examiner interview process\nHandling exceptions\nParticipating in the “wrap up” meeting\nPotential penalties\n\nFacilitators\nMichelle 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. \nBrian 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. \nContinuing Education\nABA 7.25 CRCM Credits \nPer Person Fee\n(Includes OnDemand Access through May 12\, 2021)\nM $249 / NM $419
URL:https://www.tcaregs.com/event/managing-an-effective-compliance-program/
LOCATION:Virtual
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