Your Compliance Management System: No Cookie Cutters Allowed
Federal regulators prescribe the core requirements of a financial institution's Compliance Management System (CMS).
However, the fulfillment of those components must be customized to meet your financial institution’s unique circumstances.
The basic CMS must contain:
- Board of director and management oversight
- Policies and procedures
- Monitoring and corrective action
- Consumer complaint response program
- Compliance audit
- Regulatory Focus – Current examiners’ emphasis of and reliance on the financial institution’s compliance management program
- Risk Management – The key concepts of risk management and the processes for identifying, controlling, measuring, prioritizing, monitoring regulatory and compliance risks
- Current Hot Topics – A look at recent and upcoming changes to consumer compliance issues.
- Monitoring Your System – Ways to monitor your system
- Communication – Changes, needs and requirements
- Compliance Training – What training is needed, the best delivery methods and how to document the results
Compliance and risk management officers, COOs, CEOs.
Patricia Cashman, CRCM, Cashman Compliance Solutions, LLC, began her banking career in 1969. She was the senior operations officer for three community banks, assistant examiner for the Texas Department of Banking and manager of the compliance/audit division of one of the largest bankers’ banks in the country. Patricia has taught a variety of compliance subjects at state and national banking schools and webinars and she has been a trainer for numerous banks and compliance organizations.
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