Culture of Compliance

BSA/AML shortcomings have resulted in several recent enforcement actions. As a result, FinCEN emphasizes the importance of a strong culture of compliance. Compliance is a shared responsibility, and maintaining a culture of compliance is a key strategy in avoiding penalties and personal liability.

In this presentation, former OCC Examiner Jessica Caballero will discuss properly communicating with the board to ensure a good culture of compliance from the top down. She will cover board reporting, training, continuous communication and more.

Credits Awarded: 1.25 CRCM, 1 CAMS

 

Download to Learn:

  • Ways to enhance communication between you and your board numbers in an effort to maintain a good culture of compliance
  • Communicating compliance standards organization-wide
  • Board reporting and team compliance best practices

 

Access Recording

Looking for Banker’s Toolbox? You are in the Right Place!

Banker’s Toolbox is now Abrigo, giving you a single source for all your enterprise risk management needs. Use the login button here, or the link in the top navigation, to log in to Banker’s Toolbox Community Online.

Make yourself at home!