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Compliance Manager Workshops

Hands-on Workshops Produce a Result
​​

You're a company owner or manager with limited time, and you are responsible for your company's compliance. You have limited time and specific tasks to accomplish. In the workshops, you have a defined task to complete, so you

1.) Review Policies and Procedures, Employee Handbooks
2.) Conduct and Produce a 3rd Party Audit Report
3.) Ensure Correct Employee Training
Workshop - BSA/AML Audit Workshop

4 hours
Includes:
  • policies/policy review
  • procedures
  • training
  • independt audit
Meets FinCEN Manager Training Requirements
​
$895
Workshop - GLB Safeguarding Risk Assessment

4-6 hours
  • Review your systems and components
  • Review Data Breach Process
  • Collect data for Risk Assessment
  • Create an Enterprise-Wide Risk Assessment based on your company
  • Review capabilities of Tech Vendors
  • Hours accrue towards FTC CISO requirements

​$895
Workshop - Advertising and Marketing 

4 Hours
Review:
  • Marketing
  • Social Media
  • Websites
  • Set up Monitoring Systems

$895

Workshop - State Regulatory Exam Preparation

4-6 Hours
  • Work through state-specific examination templates
  • Focuses on "Tough Ten" States
  • Includes policies, procedures
  • SES or Manual review
  • Strategies for resolving findings

​$895
Workshop - Conducting Quality Control Reviews

4-6 hours
  • Work through stages - Application, Pre-Underwriting, Post-Closing
  • Implementing QC Reviews

$895

Register Here

Compliance Manager Workshop
Qty: Price: $895.00

Upon registration you will receive a welcome package contain materials and instruction, including pre-work. The course may be available live in your marketplace, but the most common workshops run weekly online. 
Compliance Manager/Officer Workshop - Course Overview

  1. Welcome and Overview - .5 hour
    • Introduction to the role of a compliance officer.
    • Overview of the topic
    • Key challenges and objectives of compliance management.
  2. Compliance Roadmap - 1 hour
    • Reviewing Your Policies and PROCEDURES
    • Checklist to ensure all regulatory compliance requirements are met 
    • Interpretations of Elements for your business model - Broker/Non Del vs Lender
    • Creating a checklist of items to fix and how (Findings)
  3. Reviewing Training for Employees - .5 hour 
    1. Using cross certification
    2. Syllabus review
  4. Assembling Audit Exhibits - 1.5 hour
    • 1-70 AML/BSA Audit Plan
    • 1-A Quality Control: Essentials of QC for regulatory compliance.
    • 2-34 Advertising Compliance: Overview of compliance obligations and enforcement.
    • 2-9 GLB Safeguarding Plan: Protecting data integrity and security measures.
    • State Exam Prep Complete Package - 1-0 Quality Control, 2-0 Compliance, 2-9 Safeguarding, 7-0 Operations Employee Handbook 
  5. Completing the Audit and Wrap Up - .5 hour
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  • Home
    • Your Compliance Guy
    • Free Sample Policies >
      • Free Sample Request Form
      • SAFE Act Policy
      • FREE Sample AML Plan
      • TIL-RESPA Integrated Disclosure (TRID)
      • Complaint Resolution
      • HPML Appraisal Policy
      • Social Media
      • Ability to Repay
      • E-Sign Policy
    • Search our site
    • The CFPB and You
    • Choosing the Right One
    • Request Review
    • About Us >
      • Request Discount Code
      • About Us
      • Privacy Policy
      • Terms of Use
      • 100% Guarantee
      • Client List
    • Industry Blog
  • State Audit Prep
    • Texas Exam Preparation
    • Michigan Examination
    • Washington DFI Exam >
      • Supervisory Plan
    • New York DFS License Exam
    • North Carolina NCCOB Examination
    • Pennsylvania Audit/Exam
    • Georgia Mortgage Examination
    • Maryland SES Examination
    • Massachusetts Examination
    • Missouri Mortgage Exam Audit Prep
    • Ohio DFI License Examination
    • State Examination System (SES) Support
  • Complete Packages
    • A-la- Carte Modules >
      • Module System
      • Single Policies >
        • Disaster Recovery/Business Continuity Plan
        • Fair Lending/Fair Housing
        • Secondary Marketing-Loss Mitigation
        • Advertising
        • Appraiser Independence - Appraisal Management
        • Anti-Predatory Lending (UDAAP)
        • Vendor Management
        • Business Plan
        • MERS QA Plan
      • Mortgage Compliance Manual >
        • Loan Originator Comp
      • Quality Control Options >
        • Quality Control Options
        • What Does a QC Plan Do?
        • HUD-FHA Quality Control Plan
        • Lender Quality Control Plan >
          • Annual AML Training
        • Broker/Non-Del QC Plan
      • Information Security - FACTA/Red Flags & ID Theft >
        • IT/Cyber Audit
      • Anti-Money Laundering (AML/BSA/SAR) Plan
      • Origination/Production Module
      • Processing Module
      • Underwriting/Credit Policy
      • Closing/Funding/Warehouse
      • Mortgage Ops & Employee
      • Wholesale/Third Party Origination
      • Mortgage Servicing Module >
        • Mortgage Servicing
        • Mortgage Sub-Servicing
        • MERS Quality Assurance (QA)
    • Broker-Non Del Compliance
    • Complete Mortgage Banker Package
    • Complete Correspondent Pack
    • Lender Compliance Pack
    • Processing Company Package
    • Anti-money laundering AML/BSA/SAR package >
      • Annual AML/BSA Audit
      • Annual AML Training
      • AML/BSA Plan
      • Free AML/BSA SAR Evaluation
    • Cyber/IT Security Audit Package >
      • Cyber Security Audit
      • IT/Cyber Security Training
      • CyberSecurity Policies
    • Advertising Audit Package
  • Services
    • Training Services >
      • Compliance Manager Training
      • AML Training
      • Social Engineering Phishing Training
      • Fair Lending Training
      • ID Theft Training FACTA
      • Cybersecurity Training GLB Safeguarding
      • Fraud Red Flag and QC Training
      • Appraiser Independence (AIR) Training
      • Privacy Act - GLB Training
      • Advertising Compliance Training
      • New Employee Training
      • RESPA Training
      • Truth-in-Lending Training
      • New York Human Rights Training
    • Knowledge Base
    • Audits/Reviews >
      • AML Audits
      • IT Security-Cyber Audits
    • Updates and Downloads >
      • Updates and Downloads
    • Warehouse Lender/Agency Approval >
      • Comergence Upload Service
    • Custom Bespoke Manuals
    • How to: Customization Services >
      • How to: Downloading Documents
      • How to: Customize Your Manual
      • Free "Generic" Customization Offer
  • Compliance Manager
    • My Compliance VP - Manager
    • Customer Portal
    • Annual Audit Preparation