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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.
Who This Is Designed For: Perfect for compliance officers and program managers building or refining CMS programs at fintechs, MSBs, and banks.
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
By the end of this webinar, you will know how to:
Design and structure a scalable CMS tailored to your organization’s risks
Implement key components like policy frameworks, risk monitoring, and governance
Maintain regulatory alignment as requirements evolve
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.
Who This Is Designed For: Perfect for compliance officers and program managers building or refining CMS programs at fintechs, MSBs, and banks.
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
By the end of this webinar, you will know how to:
Design and structure a scalable CMS tailored to your organization’s risks
Implement key components like policy frameworks, risk monitoring, and governance
Maintain regulatory alignment as requirements evolve