Compliance Management System Overview & Best Practices

Date:

Apr 17, 2025

Register


Although regulatory agencies stress the importance of having a robust compliance management system (CMS), financial institutions have had a lot of leeway in creating them. What’s the state of your CMS? Does it follow industry standards? How does it address risk management? Join regulatory compliance counsel Michael Christians for this jam-packed webinar that will provide an overview of, and best practices for, your institution’s CMS.

Topics

AFTER THIS WEBINAR YOU’LL BE ABLE TO:

  • Understand the appropriate structure for a compliance management system
  • Identify the various types of risk that affect your financial institution
  • Effectively use change management resources
  • Appropriately draft compliance-specific policies
  • Distinguish the critical elements of a consumer complaint response program

TAKE-AWAY TOOLKIT: 

  • CMS desktop reference guide
  • Employee training log
  • Interactive quiz
  • PDF of slides and speaker’s contact info for follow-up questions
  • Attendance certificate provided to self-report CE credits
Speaker(s)

As principal of Michael Christians Consulting, LLC, Michael assists financial institutions and organizations across the country with ensuring their compliance programs conform to federal laws and regulations. He provides counsel relative to current rules, assists with the strategic implementation of upcoming regulatory changes, and offers customized education and training services.

Michael has more than two decades of experience in the financial services industry with a primary focus on consumer compliance. He obtained his Juris Doctorate from Drake University Law School. He is a member of the Iowa State Bar where he is licensed to practice law.

Additional Information

WHO SHOULD ATTEND?

This session is designed for compliance officers, risk management personnel, internal auditors, staff trainers, management, and board members.

Fees

Live: $279
On-Demand: $279
Live + On-Demand: $379

Association Contact

Brooke McCormack
Education Meeting Coordinator
bmccormack@indiana.bank
317-387-9380