Dates of Event & Pricing

$295 for Webinar and Playback*

*Playback has no expiration.

  • Wednesday, June 24, 2020

  • 12:00 - 1:00 pm (Eastern Time)

  • 11:00 - 12:00 pm (Central Time)

  • 10:00 – 11:00 am (Mountain Time)

  • 9:00 – 10:00 am (Pacific Time)

Curriculum

Financial supervisory regulators (CFPB, OCC, FDIC, NCUA, FRB) expect each financial institution they supervise to have an effective compliance management system (CMS) in place, appropriate for the financial institution’s individual profile and operations.  While there are no requirements to structure a CMS in any particular manner, regulators HAVE provided a blueprint for a successful compliance management program, adaptable to any institution.  With these expectations laid out in every agency’s manual, there are few reasons NOT to have a strong CMS.  What’s more, by viewing the CMS as part of the normal course of business (and not just preparation for an examination), chances are good that your institution will stay out of regulatory trouble and your customers will be protected from financial harm.   

The components of a CMS, the blueprint for success in the world of ever-changing consumer regulations, will be reviewed, with specific tips and insights provided.  If the compliance building blocks are put together right, the regulatory house should be sound.  

Instructor(s)

  • Kenny Douglas, CPA, CAMS, CRCM, ACTS

    Kenny Douglas, CPA, CAMS, CRCM, ACTS

    Manager - Wipfli


    Kenny Douglas brings many years of experience in BSA, regulatory compliance and internal audit to his role in Wipfli's risk advisory services team. During his tenure as a Senior Regulatory Compliance Auditor at a top 20 U.S. bank, Kenny specialized in flood and HMDA compliance. He also has extensive experience in risk assessment facilitation and fair lending analysis, and provides customized training solutions to financial institutions and banking associations. Kenny has worked with unique projects related to virtual currency, marijuana banking, and international correspondent banking. He uses this broad foundational knowledge to assist clients in understanding overall risk and improving compliance and BSA systems.
  • Stephanie Jennings CPA

    Stephanie Jennings CPA

    Manager - Wipfli


    Stephanie Jennings is a manager in Wipfli’s financial institutions practice. She has more than 18 years of experience in banking, including enterprise risk management, BSA, and regulatory compliance, as well and information security and debt collections. Stephanie has an extensive background in regulatory compliance and is responsible for providing regulatory compliance audits and consulting services to financial institutions with assets ranging from $40 million to over $15 billion. Stephanie provides consulting and advisory services to support bank and non-bank clients through the challenging regulatory environment and industry trends. She works directly with the board of directors, executive management, and staff to create and enhance the overall risk and compliance program and provides training to all levels.

Credits

1.0 CPE Credits