Compliance Management System (CMS): What a Successful Program Looks Like

The thought process goes like this: if the institution had a better way to identify, manage, and remediate its risks, regulatory intervention and/or penalties may not be necessary, or to such a drastic degree. You could call this the credibility argument; the institution is just not credible when it comes to its compliance capabilities.

This is not just a subjective exercise. There are very clear expectations around what institutions must have to meet regulatory expectations. Virtually all the federal regulators have issued guidance on what should be present in an effective CMS. This webinar will explore this topic and those expectations, along with providing guidance as to maintaining your institution’s CMS in order to be credible and minimize compliance risk wherever possible.


  • What elements are necessary in a well-designed and managed CMS?
  • Regulatory guidance from various agencies
  • Operating in a 3 Lines of Defense environment
  • What are the roles of the business(es) and audit?
  • Separation of duties
  • What is management’s role in an effective CMS?
  • What will regulators be looking for?


This program is designed for Compliance Officers along with their staffs; Internal Audit managers and their staffs; and members of bank management which oversee the Compliance function.


Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Managing Director for Treliant Risk Advisors in Washington, DC. Through his working career, as well as through his experience as a banking attorney and officer, he has provided a variety of regulatory compliance and financial performance services to financial institutions and other clients throughout the country. He has written extensively regarding consumer and commercial compliance, tax, audit, and financial institution legal issues, and is a frequent contributor to and currently serves on the Editorial Advisory Board for the ABA Bank Compliance magazine. He has spoken at scores of banking, compliance, and state bar associations, and has conducted training sessions for financial institutions across the country.

Credit Information

Institute of Certified Bankers: Visit http://www.icbmembers.org/login.aspx for instructions regarding self-reporting. Estimated credits: 2.5 CE Credits


  • Live Webinar which includes 5 Day On-Demand  - $265
  • Six Month On-Demand – $295
  • CD-ROM (Includes 6 Month On-Demand) – $345
  • Live plus Six Month On-Demand – $365
  • Premier (Includes all options) – $395
  • Additional Locations – $75               


Online: Click here.

Phone: Call Total Training Solutions at (800) 831-0678

Register online up to day of event. Earlier registration allows time to check your computer for an optimal experience.