Agenda

Nov 3, 2026
11:00 am - 12:30 pm EST

The number of regulations we, as financial institutions are subject to is vast while the number of hours in a day, weeks in a month, and months in a year are finite. As a compliance officer you must manage regulatory compliance dates (that can change on short notice), update policies and procedures to reflect new requirements, provide relevant information to staff, and stay informed about the next change, advisory, or guidance to be issued.

In addition, you manage and implement numerous regulations, guidance, and monitoring reports – all of which are designed to avoid consumer harm and compliance violations for their financial institution. It’s easy for a monthly review or annual report to slip through the cracks. This session will journey through a year in the life of a compliance officer, including required training, risk assessments, reviews, reports, and audits. Useful tools, including a sample annual calendar for you to stay on track, will be provided.

Topics

KEY WEBINAR TAKEAWAYS:

• Tracking methods for everything from policy approvals to exam findings
• How to enhance your change management process to address new and updated regulatory requirements
• Establishing an effective training program
• Effectively reporting compliance matters to the board

Speaker(s)

Dawn Kincaid
Brode Consulting Services, Inc.

Dawn Kincaid began her banking career while attending The Ohio State University. She has over 20 years’ experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Dawn served as the Senior Vice President of Operations for a central-Ohio-based community bank, where she created and refined policies and procedures, conducted self-audits and risk assessments, and organized the implementation of new products and services.

Dawn has served in the roles of Compliance, BSA/AML, CRA, Privacy, and Security Officer. She has led training initiatives, prepared due diligence information, completed a variety of regulatory applications, coordinated internal and external audits and exams, and presented for numerous state associations.

Fees

Live Webinar - $279

• Unlimited connections for your institution
• Available on desktop, mobile & tablet
• Take-away toolkit
• Presenter’s contact info for questions

On-Demand Webinar - $279

• Unlimited & shareable access starting two business days after live stream
• Available on desktop, mobile & tablet devices 24/7
• Take-away toolkit
• Ability to download webinar video
• Presenter's contact info for questions

Live + On-Demand - $379

Get the best of both and save when you Bundle the Live & On-Demand Webinar registration! This option includes all the items listed above.

**100% surcharge applied to non-members.

Association Contact