Compliance Management Systems (CMS) and Policy Writing (2020)

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CE Credits: CRCM 1.25, CERP 1.25

Description: This webinar will focus on an in-depth discussion of the compliance management systems (CMS) requirements as well as an overview of how to write a policy.  We will take a close look at the guidance from the regulators and focus on the components of a successful CMS. 

Suggested Audience: Board of Directors, Senior Management, Lending Staff (consumer and commercial), Compliance Officer/staff.

Presenter: Julia A. Gutierrez, Compliance Officer

Julia A. Gutierrez brings years of financial industry experience to the Compliance Alliance team. She began her career in banking in 2000 while receiving her Bachelor of Business Administration degree in Finance from the University of Alabama. Julia has served as a Risk Management and BSA Officer, assisted in the development of an enterprise wide risk management and compliance program for a de novo institution, assisted in the compliance remediation efforts for an institution referred to the DOJ, and was a Senior Compliance Advisor for a large regulatory compliance consulting firm. In addition to her experience in the financial industry, Julia also serves as a commissioned officer in the United States Army Reserves.

As a Compliance Officer with Compliance Alliance, Julia works in the Education Department where she is a presenter for compliance training, seminars, workshops and conferences nationwide. She also assists with policy and document reviews, research and development of new training material, and product development.