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Frontline Compliance Fundamentals

Webinar: ID# 1035818
Live on 4/29/2019 from 1:00pm till 2:30pm EST or via CD or On-Demand
Qty:
About This Course:
Today being a compliance professional at a financial institution is fraught with many different pressures. The need to maintain effective compliance with limited resources while products and services are changing in the banking industry presents a challenge.

The growing number of financial technology firms has put pressure on financial institutions to develop new products and services.

This webinar is intended to define a state-of-the-art compliance system for financial institutions. We will discuss the fundamentals for compliance as well as ways to balance limited resources with effective outcomes. This information will be critical to compliance professionals as they develop plans for the future.What You'll Learn:Frontline Compliance Fundamentals
  • Consumer Compliance Is Here to Stay
  • New FFIEC Compliance Rating System
  • Self-Policing
  • Pillars of a Compliance System in 2019
  • Regulatory Emphasis
Building an Effective Compliance Program in 2019 and Beyond
  • Risk Assessment Is the Key
  • Strategic Plan Must Include Compliance Considerations
  • Effective Compliance Can Add to the Bottom Line (New Products and Services)
  • Relating to Your Regulators
  • Training Is a Key Ingredient
Regulatory Focus
  • Areas That Will Always Be a Focus for Regulators
  • Most Often Cited Findings
  • Areas of Compliance That Can Creep up and Surprise
  • Risk Based Approaches to Compliance
Strategies for Compliance
  • Increasing Resources Internally
  • Outsourcing
  • Testing
  • Using Internal Audits Effectively
Conclusion
  • Components of an Effective Compliance Program
  • Making the Most of Limited Resources
Making the Compliance Program Fit
Order:
Frontline Compliance Fundamentals
Available Live on 4/29/2019, or on CD or On-Demand formats
Qty:
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