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Event Date Thu Jan 6 EST (14 days ago)
Location Webinar
Region Americas

After this webinar you’ll be able to:
• Use 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 the tools and resources available to you

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 manage and implement numerous regulations guidance, and monitoring reports – all of which are 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 for compliance officers will be provided.

Who should attend:
• This informative session will benefit compliance officers, compliance personnel, 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


2022 Speaker

Dawn Kincaid
Compliance Consultant, Brode Consulting Services, Inc.