Year-End Compliance Checklist

Year-End Compliance Checklist

Year-End Compliance Checklist
Wednesday, November 13, 2019
3:00 pm – 4:30 pm Eastern

 

As the end of the year approaches, now is a great time to ensure your institution’s compliance responsibilities have been completed.  This webinar is designed as a compliance program check-up while there is still time to address any overlooked items.  Learn how to prepare a compliance management assessment to showcase the year’s compliance efforts.  It’s important to clearly document your compliance activities for the next regulatory compliance examination.

This webinar will cover the compliance reviews, board reporting, and training efforts that should be completed annually.  It will include tips on conducting the annual SAFE Act review, 2019 compliance changes, and what’s on the horizon for 2020.  Join us to analyze your 2020 compliance plan to ensure it includes monitoring activities based upon the compliance risk assessment, most recent regulatory examination, and internal monitoring findings from the prior year.

 

Highlights:

  • Tips on documenting and reporting compliance program accomplishments from the year
  • Ensuring the required training, auditing, and reporting has been completed
  • Helpful hints on monitoring activities to ensure that identified exceptions have been addressed 
  • Tips on conducting the SAFE Act annual audit
  • 2020 compliance changes on the horizon
  • Quick review of 2019 regulatory compliance changes to ensure that all have been addressed

Take-Away Toolkit:

    o Compliance management assessment template
    o Year-end compliance checklist
    o Sample SAFE Act audit 
    o Project plan spreadsheet
    o Chart to track annual threshold adjustments
    o Employee training log
    o Interactive quiz

Who Should Attend?

This informative session will benefit staff responsible for the institution’s compliance program, including compliance, audit, and risk department team members. 

Speaker

Molly Stull, Brode Consulting Services, Inc.

Molly Stull began her career as a teller while working on her undergraduate degree and has continued working in the financial industry ever since.  She has experienced the growth of a hometown bank, acquisitions of branches, mergers, charter changes, name changes, etc.  Molly has activated business resumption plans, performed secondary market quality control reviews, processed wires, filed SARs, and coordinated reviews with external auditors and examiners.  Her favorite role has always been educating staff and strongly believes that if staff understands the reason for a process they will be more compelled to follow the procedures.  Molly holds a Bachelor’s from the University of Akron and an MBA from Ashland University. 

 

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 Coordinator, Lianne Simeone, (614) 610-1877.

Registration Options
Live Webinar: Register for the live event and get five days access to the On Demand Playback. You’ll have an opportunity to ask questions during the presentation and be free to review the content for the next 5 (business) days Registration also includes links to presenter materials, handouts, and pdfs.
Recorded Webinar + Free Digital Download: Can’t attend the live webinar?  This option provides a recording of the live event, including audio, visuals, and handouts.  We even provide the presenter’s email address for follow-up questions. You will receive an email with the recorded webinar link, which can be viewed anytime 24/7, beginning 6 business days after the webinar.  You will also receive instruction on how to download a free digital copy of the webinar to your PC, which you may keep and use indefinitely.

Live Webinar: Register for the live event and get five days access to the On Demand Playback. You’ll have an opportunity to ask questions during the presentation and be free to review the content for the next 5 (business) days Registration also includes links to presenter materials, handouts, and pdfs.
Additional Hookups: Registering another banker from a different location
Live Webinar + On-Demand Link : Both live webinar & recorded webinar + free digital download 

When
11/13/2019

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