A Checklist for Effective Compliance Management Systems

Date:

Time:

Summary:

This will provide an introduction and high level run-through of the basic components for an acceptable Compliance Management System. Panelists will set the stage for the key areas that compliance managers and senior management need to focus on to ensure expectations set forth by regulators and GSEs are met. Everything from a robust set of policies and procedures, staff training, cybersecurity, and disaster planning will be covered. Companies who are still defining or refining their CMS and those that have an established CMS but that are looking to stay up-to-date with the latest trends will benefit from this conversation.

Session Objectives:

Attendees should expect to understand:

• How to develop and maintain comprehensive and compliant polices & procedures
• Developing an internal audit plan for elements of the CMS
• Key compliance regulations to consider (RESPA; ECOA; Fair Lending; etc.)
• Vendor Management
• Physical and data security pans
• Disaster Planning and Business Continuity
• Advertising and Social Media Compliance
• Underwriting Policies
• Quality Control
• Servicing
• Documentation of Procedures for Compliance
• Testing of the Effectiveness of Procedures and Documentation

Speakers:

• West Beibers, CMB®, President, The Commonwealth Group
• Matthew Murphy, AMP, Senior Consultant, The Commonwealth Group

Who Should Attend?

• Compliance Officers and Staff
• Internal Audit Personnel
• Quality Control Managers
• Fair Lending Personnel
• Executive Management

For registration information, call (800)-793-6222 or email education@mba.org