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Compliance Management
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When: 9:00 AM
Where: United States

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Recommended for 2.5 CE Credits

Program Content:

Join us for a two-hour webinar on Compliance Management. All banks should have an effective Compliance Management System.

We will discuss the expectations/requirements, how to improve/enhance them and how to best utilize your resources to create an effective Compliance Management System.

Covered Topics:

·        Active board and senior management oversight;

·        Risk Assessments;

·        Effective policies and procedures;

·        Training;

·        Audits & Monitoring;

·        Complaint Management;

·        Reporting; and,

·        Culture (the foundation of an effective Compliance Management System).

“I was an FDIC Field Examiner, a Loan Officer and in 1993 I started Banker’s Compliance Consulting (over 25 years ago). During the course of my career, I’ve had the privilege of working with hundreds of financial companies in many different ways and our company has had the opportunity to serve hundreds more financial institutions. From these experiences, I’ve seen many different ways to “do” compliance – some successful and some not. There are a few basic things to keep in mind:

First, there is no “recipe” for compliance management. One size does not fit all. There is a basic framework (listed above) that should be used by your Board, Management and Compliance Officer to design and maintain a healthy Compliance Management System (CMS). But, what works for one organization may not work for you.

Second, to be successful, you’ll need to apply these principles and adjust them to fit your culture, environment, personnel and systems. It’s a job that you’ll never finish and you can’t check it off your list. In fact, it’s a cycle that continuously repeats. It must be evaluated and adjusted as new rules and requirements are issued and as your personnel changes.

Third, establishing a healthy CMS is a process that takes time – LOTS of time. Like I said earlier, it’s not a checklist that you complete. It evolves and so do the expectations as well. I continually learn of new and better ways to do things, but again, not everything that works well at one institution will work at yours.

Who Should Attend:

This webinar is designed for anyone involved in a bank’s compliance management system.  This could include compliance officers, auditors, management, directors, etc.


David Dickinson's banking career began as a field examiner for the FDIC in 1990. He later became a Loan Officer for a 110-million dollar bank. In 1993, he established Banker's Compliance Consulting. Along with his amazingly talented Team, he has written numerous compliance articles for prestigious banking publications and has developed compliance seminars that Banker's Compliance Consulting produces.

He is an expert in compliance regulations. He is also a motivational speaker and innovative educator. His quick wit and sense of humor transforms the usually tiring topic of compliance into an enjoyable educational experience. David is on the faculty of the Center for Financial Training, the American Bankers Association National Compliance Schools and is a frequent speaker at the ABA's Regulatory Compliance Conference. David is also a trainer for hundreds of webinars and is a Certified Regulatory Compliance Manager (CRCM). The American Bankers Association honored David with their Distinguished Service Award in 2016.

David and his wife Karen have 3 adult children (none of whom live at home!) & 3 cats (which Dave is allergic to).  They live on a lake in Nebraska and when possible, Dave can be found fishing or in the water.  David plays the guitar & piano and enjoys singing with Karen. Together they lead worship at their church.

If you are unable to attend the webinar but would like to have this information for training purposes, you may also purchase an OnDemand website link and/or CD-ROM. 




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