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Description:
Is your bank’s Compliance Management System (CMS) effective? Is it meeting regulator expectations? Does the bank’s written program include the necessary components? This Webinar will guide you through a comprehensive overview of a bank’s CMS, exam expectations and ratings systems from the Agencies, as well as best practices for creating or enhancing your Bank’s policies. Key topics we will cover include:
• What are the components of a Compliance Management System?
• How is each component examined under the examination criteria?
• How do policies typically fall short of examiner expectations?
• What can we do to ensure our policies are both effective for our Bank and compliant with Agency expectations?
• What resources are available for improving our policies?
People Who Should Attend:
Compliance Officers and other relevant compliance team members, mortgage lending officers and staff, mortgage operations, and internal audit. Please feel free to invite anyone within your Bank who may have any impact on the Bank’s CMS and policy writing, which may include directors, senior management, lending and deposit staff, and internal audit, among others.
Presenter:
Theo Kelly, JD
Vice President and Associate General Counsel
Theodore Kelly serves as Vice President and Associate General Counsel for Compliance Alliance. He holds a Bachelor’s Degree in Political Science from The Ohio State University, a Master’s in Business Administration from Franklin University, and a Juris Doctor from Capital University Law School. Theo began his professional career serving in the United States Marine Corps in communications security and, later, the Ohio Army National Guard as a Military Police Platoon Leader. More recently, Theo served as first-line of defense at the largest bank in the world from 2015 – 2017 and led Ethics & Compliance operations at a Texas-based Fortune 500 company from 2017 – 2021.
Theo’s professional pursuits include competently guiding business leaders in all matters of regulatory compliance, learning and sharing ways in which blockchain technology can positively impact business operations, and writing publications related to emerging technologies in the legal, risk, and comp