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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 is managing partner and co-president for TCA Compliance and is a nationally recognized BSA/AML expert with a strong bank compliance management background and a welcome ability to provide focused educational support to TCA client banks. Mr. Crow most recently was BSA Administrator for a suburban Chicago bank, where his responsibilities included the bank’s annual assessment and audit documentation. Earlier, as Operations Officer at the same bank, Mr. Crow monitored AML activity and helped install automated AML software that allowed the bank to transition from paper to electronic CTRs. His activities were responsible for reducing debit card fraud by 95 percent at the bank. Mr. Crow has been, and continues to be, an education consultant for the Glia Group BOL Learning Connect program, conducting webinars that have covered VISA/MasterCard chargebacks, debit card compliance and fraud prevention for hundreds of banks. It was in this role that Mr. Crow was recognized as a Bankers Online Guru in 2011. Like many of us, Mr. Crow began his banking career as a teller, working his way up to head teller and then branch management responsibilities. He earned a B.A. degree from Concordia University, River Forest, Illinois.

Course curriculum

  • 1

    Video

    • Change Control and your CMS
  • 2

    Materials

    • Materials

    • Slides

    • Questions and Answers