Compliance & ERM School
Both Compliance Management Systems (CMS) and Enterprise Risk Management (ERM) are closely aligned and essential to maintaining stability, integrity and an impactful community presence. Regulatory scrutiny around ERM continues to increase for banks of all sizes. As a result, we’ve incorporated ERM into this year’s curriculum for a comprehensive learning experience. All sessions will be recorded and available for future playback.
When
Where
Virtual
Students will learn:
- What is Compliance Management?
- Understanding Enterprise Risk Management
- Developing and Maintaining a Compliance Management System
- Service Provider Oversight
- Developing Risk Assessments
- Does Your Bank Have a Consumer Complaint Response Program?
- Monitoring and Audit Function Expectations
- Board and Management Oversight – How Important Is It?
- Compliance Hot Topics for 2024
- Developing an Effective Written Program
- UDAAP & Consumer Harm
Program: 9:00 AM – 4:00 PM
Lunch: Noon – 1:00 PM
Registrants will receive instructions in advance to access the online class and download the materials. Registrants will also have access to the session recordings and materials for 90 days.
Cancellation/Refund Policy:
Cancellations or substitutions must be submitted in writing. Please email to education@texasbankers.com. Cancellations received on or before October 1 will receive a refund less a 10% cancellation fee. Cancellations received October 1-8 will receive a refund less a 50% cancellation fee. Any cancellations received after October 8 or “no shows” will not be refunded. Extenuating circumstances are reviewed on an individual basis. Substitutions are permitted without penalty.
Texas State Board of Public Accountancy: 7 CPE Credit Hours (there are no
educational prerequisites)
ABA Professional Certifications: Application for CE credit is pending approval.
Attendees will be notified once the credit approval is received.
Meet our Speaker
Julia Gutierrez
Julia brings over 16 years of financial industry experience to the C/A team. Julia has served as a Risk Management and BSA Officer, assisted in the development of an ERM and compliance program for a de novo institution, assisted in the compliance remediation efforts for an institution who was referred to the DOJ, held positions in retail and branch management, and was a Senior Compliance Advisor for a large regulatory compliance consulting firm.