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The Role of the Compliance Officer in the Compliance Management System

July 30, 2013 2:00pm - 3:00pm


An effective compliance management system should be an essential part of your financial institution. This session will discuss what an effective compliance management system is, and how it is successfully implemented within your organization. We will further discuss compliance functions, and the roles and responsibilities of the compliance officer. Attendees will walk away with an understanding of the formal development of compliance testing, monitoring and audit programs, as well as the examiners’ requirements and expectations of your financial institution’s regulatory compliance program.

Takeaways

  • Learn what an effective compliance management system is, and how it is successfully implemented within your financial institution 
  • Understand the examiners’ requirements and expectations of your financial institution’s regulatory compliance program 
  • Learn the roles and responsibilities of the compliance officer 
  • Understand the formal development of compliance testing, monitoring and audit programs 

Presented by 
Stephen R. King, JD, AMLP – Director, Regulatory Compliance Services   

About Wolf & Company's webinar program
Clients receive complimentary access to our webinar service designed to give you insight into the issues impacting your industry. If you are not a client, but are interested in this topic, we are happy to schedule an appointment. Please contact Ashley Sullivan, Wolf & Company's Senior Marketing Specialist, at 617-261-8148 or asullivan@wolfandco.com.

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“I have attended other webinars on Asset Liability Management and Model Risk recently, and I found your presentation to be the most helpful in the practical application of the principals of model validation. ”
Bryan Cowan
Assistant Controller, Westfield Bank