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Event Date Tue Apr 13 EDT - Thu Apr 15 EDT (6 months ago)
Location Virtual
Region Americas

Compliance touches every aspect of banking – from product and service development, delivery, maintenance, servicing, and cessation. Yet, there is little training or orientation to what is involved in being a Compliance Officer, Manager, Specialist or Analyst.

How to be a Compliance Officer is a question that looms over most compliance professionals. Many are bestowed the position due to absence one day, while some actively pursued compliance. There are lists of what a compliance officer should do without much insight as to How.

This three-day seminar will provide comprehensive insight on what you should be doing and how to do it to be an effective Compliance Officer. Combining lecture, written materials, breakout sessions and mini workshops, the Compliance Officer Boot Camp is a must whether you are new to compliance or have been moving through the motions of compliance for years.

During Compliance Officer Boot Camp we will cover:

- Organizing the Compliance Function

• Compliance Risk Management (CRMP)
• Regulatory vs examiner requirements/expectations
• Compliance Management System - what CMS includes
• Role of Compliance Officer
- Limitations and constraints
• Reviewing Policies & Procedures for Compliance
- What's required? Recommended?
• Three Lines of Defense
• Who's Monitoring and How?
- What should be monitored?
• Independent Audits
• Compliance Training: Methods, Schedules, and Tips
• Complaint Management
- What is a complaint?
- Responses to complaints
- Reporting & lessons learned
• Compliance Risk Assessments
• Regulatory Change Management

- Finding and Understanding the Applicable Laws, Rules, Regulations, and Guidance
• How to read a regulation, statute, guidance
• How to conduct research and build your library

- Consumer Compliance
• Role of the Examiner
• The Compliance Officer's Role
• Pre-planning
• Determining Risk
• Risk Assessing your CMS

- Conducting Reviews and Analysis
• Transaction testing by the numbers
• Risk Assessing findings
• Communicating findings
• How to write one report to meet the needs of the Board, Operations & Examiners
• Management Reporting
• Issue Resolution & Tracking

- Compliance Examinations

- Highlight of Key Regulations - Lending, Deposits, and Enterprise-Wide

- Explore Presentation Skills and Influencing Management
• We are not the "No" squad

- Resources, Resources and More Resources!
• We will provide a list of valuable resources that are available for free to assist compliance staff.


2021 Speaker


Leah Hamilton
Vice President & Senior Consultant, ProBank Austin

Sponsors & Partners

2021 Partners

• Utah Bankers Association
• NC Bankers
• Montana Bankers Association
• Indiana Credit Union League
• IOWA Bankers Association
• Community Bankers Association of Georgia
• West Virginia Bankers Association
• PA Bankers Association
• Maryland Bankers Association
• Louisiana Bankers Association
• Independent Bankers of Colorado
• Oregon Bankers Association
• Kentucky Bankers Association
• Washington Bankers Association
• Virginia Bankers Association
• Tennessee Bankers Association
• Michigan Bankers Association
• Idaho Bankers Association
• Indiana Bankers Association
• Ohio Bankers League
• South Carolina Bankers Association
• NC Bankers Association
• Oklahoma Bankers Association