Compliance Management System (CMS) Essentials

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Tuesday, August 20, 2024 9:00 AM - 4:00 PM   iCalendar Central Standard Time

Today’s financial institutions must have sound compliance management systems (CMS). From making sure everyone is following policies and procedures to training staff to tracking, understanding, and implementing new regulations and predicting the impact of proposed rules, it’s a never-ending exercise in organization and education. That’s why federal regulators require financial institutions to have a CMS. While each agency has its own definition of a CMS, it all boils down to one simple concept: how a financial institution manages consumer compliance risk. This program provides a practical, risk-based review of the basic requirements of a CMS.


  • A review of the basic requirements of a CMS and tailoring them to your financial institution.
  • How changing regulatory requirements pose a risk if not tracked and managed properly.
  • Breaking down institutional silos to build and maintain a better CMS.
  • Reviewing, testing, and monitoring operations to ensure requirements are working as intended.
  • Training business units.
  • Correcting and preventing consumer harm.

Kimberly Boatwright, CAMS, CRCM, is EVP and Director of Risk and Compliance at COMPLIANCE RESOURCE, LLC, and has over two decades of experience in the financial services industry. Ms. Boatwright is a well-regarded financial industry risk and compliance professional with a strong background in program development and implementation. She is a thought leader who specializes in Fair Lending, Anti-Money Laundering, OFAC, and consumer compliance. During her career, she has worked for and consulted with all types of financial institutions, helping to establish and evolve compliance and risk programs. She is a frequent public speaker, trainer, and author on compliance and risk management topics. Kimberly is a Certified Regulatory Compliance Manager and a Certified Anti-Money Laundering Specialist.

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