With so many new compliance changes on the horizon and examiners’ increased expectations, it can be hard to know where to begin. This webinar is designed to simplify your life and make sense of the compliance function. Join us for ways to streamline the compliance function while continuing to ensure its effectiveness.
- Refining the framework of the compliance function
- Getting the most out of your compliance council
- Tackling new regulatory challenges
- Communicating effectively with the board and senior management
- Thinking outside the box when it comes to compliance training
- TAKE-AWAY TOOLKIT
- Compliance officer development plan
- Policy update and review schedule
- Compliance council charter and sample agenda
- Change-management template
- Compliance action plan and tracker
- Issue management tracking report
- Compliance year-end roundup
- Board reporting reference guide
- Tips for effective training
- Employee training log
- Quiz you can administer to measure staff learning and a separate answer key
Attendance verification for CE credits provided upon request.
Who Should Attend?
This informative session is designed for new and seasoned compliance officers and senior managers who want to learn how to take the compliance function to the next level, while maintaining efficiency and effectiveness.
ABOUT THE PRESENTERS – Ann Brode & Angela Lucas, Brode Consulting Services, Inc.
Ann Brode began her career in 1973 and has continued her service as a consultant to regional and community financial institutions through a wide range of areas including strategic planning, lending, deposits, marketing, training, compliance, and management. Ann is a well-respected presenter and has spoken to audiences across the country for over 25 years. She has presented sessions for numerous state associations and has taught at the School of Banking Administration at the University of Wisconsin as well as many other state banking schools. Ann is the author of The Bank Deposit Documentation Manual for Front-Line Personnel, published by Bankers Publishing Company, and is well represented in numerous industry publications.
In 2003, Angela Lucas began her career as an Associate National Bank Examiner with the OCC, where she was responsible for performing regulatory examinations of nationally-chartered community banks. Her areas of concentration included commercial and retail credit and consumer compliance, with extensive focus on BSA and anti-money laundering. Later, Angela became a compliance examiner at Federated Investors, Inc.
Angela joined Brode Consulting Services in 2009 as a compliance consultant and loan-review specialist. While her focus remains compliance-based, Angela has expanded to training initiatives. Angela has a Bachelor’s in Business Administration from Duquesne University with a dual major in Finance and Investment Management.
|Over $75 million
|$25 - 75 million
|Under $25 million
Scholarships are available for all KCUA education events. Scholarships pay 100% of registration fee for credit unions under $7M, 50% for credit unions between $7-$75M and 25% for credit unions over $75M.