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Course description

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



Instructor(s)

Brian Crow

Brian Crow, CAMS is Managing Partner & Co-President at Thomas Compliance Associates, Inc. in Chicago, IL. Brian’s passion for and skill in protecting bank assets from fraud and compliance losses have earned him the nickname “Security Evangelist.” In addition to developing and guiding the strategic vision for TCA, Brian delivers focused educational support to clients and helps them manage TCA’s suite of consulting, audit, and training services. He is a nationally recognized expert on BSA/AML and deposit compliance and is a regular speaker at the annual BSA/AML Top Gun Conference. As an education consultant for the Glia Group BOL Learning Connect program, Brian conducts webinars on topics like VISA/MasterCard chargebacks, debit card compliance, and fraud prevention. For this work, he was recognized as a Bankers Online Guru in 2011. “Bach to Spock” could characterize his interests outside work. Music has been a lifelong passion, and Brian is the organist and handbell director for King of Glory Lutheran Church in Elgin, Illinois. And as a devoted Trekkie, he can hold my own with anyone in a Star Trek trivia match.

Course curriculum

  • 1

    Video

    • Change Control and your CMS

  • 2

    Materials

    • Materials

    • Slides

    • Questions and Answers