Risk Officer Series:
A Year in the Life of a Compliance Officer:
Tips, Tools & Annual Requirements
(90-minute webinar – recording also available)
Thursday, October 8, 2020
12:00 PM Pacific 1:00 PM Mountain
2:00 PM Central 3:00 PM Eastern
If you wear the compliance “hat,” this must-attend webinar is for you! It will address a compliance officer’s reporting requirements throughout the course of a year and provide tips, tricks, and tools to succeed.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
- Utilize checklists to track your responsibilities
- Implement tracking methods for everything from policy approvals to exam findings
- Establish an effective training program
- Effectively report compliance matters to the board
- Understand tools and resources available to you
WEBINAR DETAILS
Each day compliance officers work to manage and implement numerous regulations, guidance, and monitoring reports – all to protect their financial institution from violations and avoid consumer harm. But since they often wear many hats, it’s easy for a monthly review or annual report to slip through the cracks. This program will walk through a year in the life of a compliance officer, including required training, risk assessments, reviews, reports, and audits. Useful tools and a sample annual calendar for compliance officers will be provided.
WHO SHOULD ATTEND?
This informative session is designed for compliance officers and internal auditors.
TAKE-AWAY TOOLKIT
- Sample compliance officer job description
- Sample compliance council charter
- Sample policy review schedule
- Sample annual calendar
- Employee training documentation record
- Employee training log
- Interactive quiz
 MEET THE PRESENTER - Dawn Kincaid, Brode Consulting Services, Inc.
Dawn Kincaid began her banking career while attending The Ohio State University. She has 19 years’ 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 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.
THREE REGISTRATION OPTIONS – WHAT YOU GET
1. Live Webinar Includes
- Unlimited connections within your institution to the Live Webinar
- Handout and Take-Away Toolkit
- Available on desktop, mobile & tablet
- Presenter’s contact info for follow-up
2. Recorded Webinar Includes
- Recording of the Live Webinar
- Available two business days following Live date
- Handout and Take-Away Toolkit
- Available on desktop, mobile & tablet
- Free Digital Download, yours to keep
- Share link with anyone at your institution
- Presenter’s contact info for follow-up
3. Purchase the BOTH Option to receive all the benefits listed above! Full registration descriptions can be found here.
Note: All materials are subject to copyright. Transmission, retransmission, or republishing this webinar to other institutions or those not employed by your financial institution is prohibited. Print materials may be copied for eligible participants only.
AFFORDABLE, PROFESSIONAL TRAINING, WHEN AND WHERE YOU CHOOSE
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