Managing an Effective Compliance Program

Thursday, March 11, 2021 - Friday, March 12, 2021   iCalendar Central Standard Time

Effective compliance management requires a mastery of both compliance know-how plus people and project management skills. This program examines strategies for effective compliance management featuring a detailed CMS model discussion with a focus on risk assessments, vendor management, and complaint response. The session applies the compliance infrastructure and regulation foundation to your day-to-day needs and job demands, with a focus on the most pressing issues and topics.

Agenda - Day 1 - 9:00 a.m. - 12:00 p.m.

Regulatory Process

  • Laws/regulations and bank's involvement in the process
  • Current regulatory trends

Compliance Management Systems

  • Board and management oversight
  • Comprehensive program
    • Policies and procedures
    • Risk assessment
    • Change control
    • Maintaining compliance competence
    • Vendor management (from the compliance officer's perspective)
    • Corrective action

Agenda - Day 2 - 9:00 a.m. - 12:00 p.m.


  • Monitoring
    • Identifying activities that need to be periodically monitored
    • Identifying how often monitoring should occur
    • Reporting monitoring findings
    • Tracking identified issues
  • Independing Reviews
    • Identifying areas, rules, or activities
    • Determining frequency
    • Process review, transaction testing, or both
    • Oversight

Consumer Complaints

  • Formal response to written complaints (includes e-mail)
    • Direct from consumers
    • Through regulatory agencies
    • Through Better Business Bureau or other sources
  • Responding to verbal complaints
  • Tracking complaints (including verbal) to identify:
    • Inconsistencies
    • Possible UDAAP issues
    • Possible fair lending issues

Preparing for Examination

  • Planning ahead
  • Being prepared
  • Controlling the examiner interview process
  • Handling exceptions
  • Participating in the "wrap up" meeting
  • Potential penalties

Michelle Strickland, CRCM, is managing partner and co-president at TCA. Her banking background includes consumer, residential and secondary market loan processing, and most recently at a large Indiana bank, responsibility for loan servicing, commercial loan processing and documentation, and residential and consumer loan processing and documentation.

Brian Crow, CAMS, managing partner and co-president at TCA, is a nationally recognized Reg E and BSA/AML expert. He is an education consultant for the Glia Group BOL Learning Connect program, conducting webinars that cover Visa/MasterCard chargebacks, debit card compliance and fraud prevention. Crow was recognized as a Bankers Online Guru in 2011.

Continuing Education
ABA CRCM Credit (pending review)

Per Person Fee
(Includes OnDemand Access through May 12, 2021)
M $249 / NM $419