Compliance Management Essentials

Date:

Jun 8, 2026

Register

Today’s financial institutions must have sound compliance management systems (CMS). From making sure everyone is following policies and procedures to training staff to tracking, understanding, and implementing new regulations and predicting the impact of proposed rules, it’s a never‑ending exercise in organization and education.

That’s why federal regulators require financial institutions to have a CMS. While each agency has its own definition of a CMS, it all boils down to one simple concept, how a financial institution manages consumer compliance risk.

This program delivers a practical, risk‑based overview of the foundational elements of a Compliance Management System.

Agenda

June 8, 2026
2:30 pm - 4:30 pm EST

A CMS is the framework an institution uses to:

  • Learn and stay current on its compliance responsibilities
  • Ensure employees understand and apply those responsibilities
  • Integrate regulatory requirements into daily business processes
  • Review operations to confirm responsibilities are met and controls are effective
  • Take corrective action and update policies, procedures, and training as needed

Just as importantly, a strong CMS helps institutions reduce compliance risk by proactively addressing:

  • Changes in products and services
  • New or amended laws and regulations driven by market developments
  • The risks of noncompliance with consumer protection laws, which may result in litigation, monetary penalties, and formal enforcement actions

This webinar explains why regulators emphasize CMS and how a well‑designed system supports compliance, risk management, and regulatory confidence across the institution.

Topics

What You'll Learn:

  • Review the core requirements of a CMS and tailor them to fit your financial institution’s size, complexity, and risk profile
  • Understand how changing regulatory requirements can pose compliance risk if not properly tracked and managed
  • Break down institutional silos to build and maintain a more effective, coordinated CMS
  • Review, test, and monitor operations to ensure compliance requirements are working as intended
  • Deliver effective training to business units.
  • Identify, correct, and prevent consumer harm
Speaker(s)

Kimberly Boatwright

Kimberly Boatwright is EVP and Director of Risk and Compliance at Compliance Resource, LLC, and has more than two decades of experience working in the financial services industry. Ms. Boatwright is a well-regarded financial industry risk and compliance professional with a strong background in program development and implementation. She is a thought leader who specializes in Fair Lending, Anti-Money Laundering, OFAC, and consumer compliance. During her career, she has worked for and consulted with all types of financial institutions helping to establish and evolve compliance and risk programs. She is a frequent public speaker, trainer, and author on compliance and risk management topics. Kimberly is a Certified Regulatory Compliance Manager and a Certified Anti-Money Laundering Specialist.

Additional Information

WHO SHOULD ATTEND?

This session is designed for anyone seeking a stronger understanding of an effective Compliance Management System (CMS). It is particularly beneficial for new compliance officers, as well as professionals working in compliance, risk management, internal audit, and management roles.

Fees

Live Webinar - $299.00

  • Live Access
  • 30 Days OnDemand Playback
  • Presenter Materials and Handouts

Available Upgrades

**100% surcharge applied to non-members.

Association Contact
Susan Clark   Silvia Regalado
Professional Development Coordinator   Professional Development Coordinator
o: 317-387-9380   o: 317-387-9380
d: 317-333-7169   d: 317-333-7170
sclark@indiana.bank   sregalado@indiana.bank