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Do you have an effective process for Change Control? Regulations, products, services and systems are constantly changing. Once upon a time, the Compliance Officer was the subject matter expert for every area of the Bank. More and more, specialization is needed in the industry to ensure that nothing slips through the cracks. Managing change is critical to ensuring the success of your institution. Strong procedures and processes for compliance change are key building blocks in the foundation of your CMS.
Whether your CMS is in the development phase, or you would just like to give it a status check, this session will assist in measuring where you are and provide materials and insight into streamlining your change process.
Brian will cover:
- Compliance risk assessments
- Regulatory change management
- System updates and monitoring
- Business line communication
- Vendor management
- Checklists and time management
- Staff training
Besides introducing you to a change management process, we will walk through a sample new product development and a new regulation implementation. Attendees will receive sample templates with the written materials to aid in enhancing their own processes.
Who Should Attend:
Compliance officers, BSA officers, management with oversight of the change process
Change Control and your CMS
Questions and Answers