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CFT
Webinars are purely educational. Instructors are not permitted to sell any
products or services during the presentation.
Program
Content:
Join us
for a two-hour webinar on Compliance Management. All banks should have an
effective Compliance Management System.
We will
discuss the expectations/requirements, how to improve/enhance them and how
to best utilize your resources to create an effective Compliance Management
System.
Covered
Topics:
- Active board and senior management oversight;
- Risk Assessments;
- Effective policies and procedures;
- Training;
- Audits & Monitoring;
- Complaint Management;
- Reporting; and,
- Culture (the foundation of an effective Compliance
Management System).
An
Important Note from the Presenter, David Dickinson:
“I
was an FDIC Field Examiner, a Loan Officer and in 1993 I started Banker’s
Compliance Consulting (over 25 years ago). During the course of my career,
I’ve had the privilege of working with hundreds of financial companies in
many different ways and our company has had the opportunity to serve
hundreds more financial institutions. From these experiences, I’ve seen
many different ways to “do” compliance – some successful and some not.
There are a few basic things to keep in mind:
First,
there is no “recipe” for compliance management. One size does not fit all.
There is a basic framework (listed above) that should be used by your Board,
Management and Compliance Officer to design and maintain a healthy
Compliance Management System (CMS). But, what works for one organization
may not work for you.
Second,
to be successful, you’ll need to apply these principles and adjust them to
fit your culture, environment, personnel and systems. It’s a job that
you’ll never finish and you can’t check it off your list. In fact, it’s a
cycle that continuously repeats. It must be evaluated and adjusted as new
rules and requirements are issued and as your personnel changes.
Third,
establishing a healthy CMS is a process that takes time – LOTS of time.
Like I said earlier, it’s not a checklist that you complete. It evolves and
so do the expectations as well. I continually learn of new and better ways
to do things, but again, not everything that works well at one institution
will work at yours.
Who
Should Attend?:
This
webinar is designed for anyone involved in a bank’s compliance management
system. This could include compliance officers, auditors, Management,
Directors, etc. Please
forward email to appropriate person(s).
Instructor:
David
Dickinson 's banking career
began as a field examiner for the FDIC in 1990. He later became a Loan
Officer for a 110-million dollar bank. In 1993, he established Banker's
Compliance Consulting. Along with his amazingly talented Team, he has
written numerous compliance articles for prestigious banking publications
and has developed compliance seminars that Banker's Compliance Consulting
produces. He is an expert in compliance regulations. He is also a
motivational speaker and innovative educator. His quick wit and sense of
humor transforms the usually tiring topic of compliance into an enjoyable
educational experience. David is on the faculty of the Center for Financial
Training, the American Bankers Association National Compliance Schools and
is a frequent speaker at the ABA's Regulatory Compliance Conference. David
is also a trainer for hundreds of webinars and is a Certified Regulatory
Compliance Manager (CRCM). The American Bankers Association honored David
with their Distinguished Service Award in 2016. David and his wife Karen
have 3 adult children (none of whom live at home!) & 3 cats (which Dave
is allergic to). They live on a lake in Nebraska and when possible, Dave
can be found fishing or in the water. David plays the guitar & piano
and enjoys singing with Karen. Together they lead worship at their church.
What
Is A Webinar?:
A
webinar combines the clarity of an audio teleconference with the
interactivity and visual presentation of the internet. All you need to
participate is a telephone and an internet connection. Even if you don't
have an internet connection, you can still participate in the audio
session. Listening to the program over the telephone and following the
written materials is an effective alternative!
Unable
To Attend?:
No
problem. You can purchase a recording of the webinar for future use. You
can choose from either an On-Demand Web Link (Good for 6 months from the
webinar date, unlimited use) or a CD-ROM (includes a paper copy of the
PowerPoint slides).
Viewing
Options (all options include applicable handouts):
All
options include applicable handouts. You can choose to pay by credit card
or be billed. Additional Live Webinar connections are $75 each.
Option 1: Live
Webinar and 7 Days OnDemand Video Playback - $265
Option 2: OnDemand
Video (six months access) - $295
Option 3: Live
and 6 Months of OnDemand Video - $365
Option 4: CD-ROM
Video (Includes OnDemand Video) - $345
Option 5: Entire
Package (all of the above) - $395
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