Building a Real Compliance Management System (CMS)
Course Description
Every regulator expects your institution to have a Compliance Management System—but many teams struggle with how to put one together that actually works. This training breaks down CMS into its core components and shows you how to build a program that’s right-sized, effective, and defensible. We’ll focus on getting buy-in, structuring oversight, and making sure the system supports your team—not just the examiners.
Agenda
What is a CMS, and why does every examiner start here?
Building real oversight: roles of board, executives, compliance officer, and committees
Structuring your compliance program: policies, procedures, risk assessments, and change management
Monitoring and testing: what to do in-house, when to outsource, and how to prioritize
Handling errors, complaints, and violations the right way
Training that works: audience, frequency, and turning training into a compliance tool
Instructor: Jess Hawks
Course Description
Every regulator expects your institution to have a Compliance Management System—but many teams struggle with how to put one together that actually works. This training breaks down CMS into its core components and shows you how to build a program that’s right-sized, effective, and defensible. We’ll focus on getting buy-in, structuring oversight, and making sure the system supports your team—not just the examiners.
Agenda
What is a CMS, and why does every examiner start here?
Building real oversight: roles of board, executives, compliance officer, and committees
Structuring your compliance program: policies, procedures, risk assessments, and change management
Monitoring and testing: what to do in-house, when to outsource, and how to prioritize
Handling errors, complaints, and violations the right way
Training that works: audience, frequency, and turning training into a compliance tool
Instructor: Jess Hawks
Course Description
Every regulator expects your institution to have a Compliance Management System—but many teams struggle with how to put one together that actually works. This training breaks down CMS into its core components and shows you how to build a program that’s right-sized, effective, and defensible. We’ll focus on getting buy-in, structuring oversight, and making sure the system supports your team—not just the examiners.
Agenda
What is a CMS, and why does every examiner start here?
Building real oversight: roles of board, executives, compliance officer, and committees
Structuring your compliance program: policies, procedures, risk assessments, and change management
Monitoring and testing: what to do in-house, when to outsource, and how to prioritize
Handling errors, complaints, and violations the right way
Training that works: audience, frequency, and turning training into a compliance tool
Instructor: Jess Hawks