A Year in the Life of a Compliance Officer 

Wednesday, November 29, 2023
11:00 am – 12:30 pm Eastern

Do you see your life laid out before you? If you’re a compliance officer, this webinar could be your roadmap. Compliance officers must stay abreast of and track an overabundance of policies, procedures, regulations, and deadlines. This webinar is the perfect onramp to the tools, tips, and sample calendars compliance officers need to steer your institution in the right direction.

AFTER THIS WEBINAR YOU’LL BE ABLE TO:

• Use provided checklists to track your responsibilities 
• Implement tracking methods for everything from policy approvals to exam findings
• Enhance your change management process to address new and updated regulatory requirements
• Establish an effective training program
• Effectively report compliance matters to the board
• Understand the tools and resources available to you

WEBINAR DETAILS 

Compliance officers’ duties are broad. They must manage regulatory compliance dates (that can change on short notice), update policies and procedures to reflect new requirements, provide relevant information to staff, and stay informed about the next change, advisory, or guidance to be issued. In addition, they must manage and implement numerous regulatory guidances and monitoring reports. All of this is designed to avoid consumer harm and compliance violations for their financial institution. Since they often wear many hats, it’s easy for a monthly review or annual report to slip through the cracks. This program will journey 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 will be provided. 

WHO SHOULD ATTEND? 

This informative session will benefit compliance officers, compliance staff, and internal auditors.

TAKE-AWAY TOOLKIT

• Sample compliance officer job description
• Sample compliance council charter
• Sample policy review schedule
• Board and employee training documentation record
• Employee training log 
• Interactive quiz
• PDF of slides and speaker’s contact info for follow-up questions
• Attendance certificate provided to self-report CE credits

SPEAKER

Dawn Kincaid, Brode Consulting Services, Inc.

Dawn Kincaid began her banking career while attending The Ohio State University. She has over 20 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.

Attendance verification for CE credits provided upon request.

Webinar Sponsored by Financial Education & Development

If you are having issues with registering online, please contact CBAO's Education, Training & Special Events Coordinator, Malia Widder, (614) 610-1877.