Description:
Every regulator expects a functional Compliance Management System (CMS), but building one that truly works can feel overwhelming. This session breaks CMS into clear, manageable components and shows how to create a program that is effective, scalable, and defensible. Participants will learn how to gain leadership buy-in, structure oversight, and build a system that supports both the team and regulatory expectations, not just examiners.
Using practical examples and step-by-step guidance, attendees will gain actionable tools to design policies, monitor risks, handle errors, and deliver training that reinforces compliance throughout the organization.
Who This Is Designed For: Compliance officers, program managers, and professionals at fintechs, MSBs, and banks who are building or refining CMS programs and want a practical, structured approach.
Agenda
CMS Fundamentals: Understand what a CMS is and why regulators focus on it first.
Building Oversight: Define roles for boards, executives, compliance officers, and committees.
Structuring Your Program: Implement policies, procedures, risk assessments, and change management effectively.
Monitoring and Testing: Learn what to do in-house, when to outsource, and how to prioritize monitoring efforts.
Handling Issues: Address errors, complaints, and violations correctly.
Training That Works: Identify audiences, set frequency, and use training as 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 risk profile.
Implement key components such as policy frameworks, risk monitoring, and governance structures.
Maintain alignment with evolving regulatory expectations while keeping your program practical and effective.