Compliance Management System Essentials


May 23, 2023
9:00am-4:00pm


Member Fees: $265 (In-Person); $365 (Live Stream); $530 (Recording); $100 Add On Recording Fee with In-Person or Live Stream Registration
Non-Member Fees: $465 (In-Person); $565 (Live Stream); $730 (Recording); $100 Add On Recording Fee with In-Person or Live Stream Registration

Please note: If you participate in-person or by live stream via Zoom, we will email a certificate to you following the program. Certificates will only be emailed to registered attendees. If you register for the recording, we will not be able to provide a certificate because we will not be able to track attendance.
 
ABA Professional Certification Continuing Education Credit - This program has been approved for 7.25 CRCM and 7.25 CERP credits by ABA. Certified professionals should report these credits at aba.csod.com following the seminar. 


Today’s financial institutions must have sound compliance management systems (CMS). From making sure everyone is following policies and procedures to training staff to tracking, understanding, and implementing new regulations and predicting the impact of proposed rules, it’s a never-ending exercise in organization and education. That’s why federal regulators require financial institutions to have a CMS. While each agency has its own definition of a CMS, it all boils down to one simple concept: how a financial institution manages consumer compliance risk. This program provides a practical, risked base review of the basic requirements of a CMS.


Topics include:

  • A review of the basic requirements of a CMS and tailoring them to your financial institution
  • How changing regulatory requirements pose a risk if not tracked and managed properly
  • Breaking down institutional silos to build and maintain a better CMS
  • Reviewing, testing, and monitoring operations to ensure requirements are working as intended
  • Training business units
  • Correcting and preventing consumer harm

Kimberly Boatwright is EVP and Director of Risk and Compliance at Compliance Resource, LLC and has more than two decades of experience working in the financial services industry. Ms. Boatwright is a well-regarded financial industry risk and compliance professional with a strong background in program development and implementation. She is a thought leader who specializes in Fair Lending, Anti-Money Laundering, OFAC and consumer compliance. During her career she has worked for and consulted with all types of financial institutions helping to establish and evolve compliance and risk programs. She is a frequent public speaker, trainer, and author on compliance and risk management topics. Kimberly is a Certified Regulatory Compliance Manager and a Certified Anti-Money Laundering Specialist
When
5/23/2023 9:00 AM - 4:00 PM
Where
LBA/The Bankers Center 5555 Bankers Avenue Baton Rouge, LA 70808 UNITED STATES

Program


Tuesday, 23 May 2023

Description
Add Recording At Discounted Price
Time
9:00 AM - 4:00 PM
5/23/2023 9:00 AM

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