BankNewswatch

Compliance for Beginners

Wednesday, July 31st, 2024 10:00 am - 12:00 pm Central Time

A BankWebinars.com Program

Click Here to register for program $299.00

Click Here to register for program and receive recording $449.00


Getting started in compliance can be a daunting endeavor. Where to even start? What are the laws, regulations, and guidance that applies to the world of banking? Where can I find all this information to better help me do my job?

The goal of this webinar is to define the “universe” of banking law and help new compliance professionals – or even those looking to up their knowledge and get helpful information – so that you can succeed at your job.

We’ll provide many tips and tricks, including where to find all this information, as well as provide a primer on the banking regulatory world. Who are the players? Who regulates who, and what are exams all about? We’ll address all these issues and more.


What You'll Learn
  • The banking industry regulatory structure – who regulates who?
  • Where are all these laws and regulations that impact the industry?
  • How do these laws and regulations (and guidance) become effective?
  • Monitoring the Federal Register and regulatory websites
  • What is authoritative and what is not?
  • Finding all this information – utilizing the online world to follow along (“change management”)
  • The various areas of compliance: deposits/operations, lending, privacy, AML/BSA, and others
  • What is the examination process all about? How best to succeed
  • The basics of a Compliance Management System (CMS) – the keys to be credible
  • Helpful sites and resources to have all you need

Instructors

Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Senior Advisor for Asurity Advisors in Washington, DC. Through his more than 30-year working career, as well as through his experience as a banking attorney and officer, he has provided a variety of regulatory compliance and financial performance services to financial institutions and other clients throughout the country.