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Running an Effective Compliance Management System – Pulling it all Together

August 24, 2018 @ 8:00 am - 12:00 pm CDT


Members: $40
Non-members: $70

A light breakfast is included. Please indicate any diet restrictions on your registration.

Join CCA and your banking colleagues as we learn the intricacies of a Compliance Management System (CMS) and get helpful, actionable information you can take back to your Institution.

Please send any questions you have for our speakers, in advance to: Speaker Questions.

Location: Northern Trust Building


Topics Include:

  • Program and Oversight:
    • CMS Policy / Procedures and Risk Assessment
    • Board of Directors and Management reporting
    • Management Structure and Compliance Committee
  • Monitoring/Audit:
    • Internal Monitoring and Audit
    • Managing Audit Recommendations and Corrective Action
    • Training Program
  • Complaint and Vendor Management:
    • Consumer Complaint process
    • Third-party Vendor Management and Oversight
  • CMS Horror Stories and Why it Matters

Registration and Breakfast begins at 8:00 am
Session runs from 8:30 am to 12:00 pm

Attendees are advised to arrive before 8:15 am and be prepared to present photo ID.

Last day of registration is end of business on August 21, 2018

Important Message: CCA no longer accepts cash or checks as payment for meetings or membership dues. Payment is only accepted in advance by debit or credit card via our website. This important change is necessary to ensure receipt of payment. Registration for meetings or membership will not be considered complete without prepayment. CCA is no longer able to invoice for events and entry will be denied if payment has not been received. Payment can be made in advance using a debit or credit card via CCAs PayPal page. Failure to pay in advance may result in removal of registration for the event.

Speakers and Topics may be subject to change.

The session is pending for CRCM credits. 

This session is not to be recorded electronically without written permission from the Chicagoland Compliance Association and all speakers. materials and opinions shared from the speakers are not necessarily those of the organization they represent and therefore, unless otherwise indicated, should be assumed personal and not indicative of any implied liability or accountability back to the respective organization.

Reservation cancellations received by the CCA after the registration deadline of August 21, 2018 will not receive a refund.

If after registering you do not see the “Thank You” page or you do not receive a confirmation email within two days, then your registration has not been received. Please email the CCA.

Registration has closed for this event. 


August 24, 2018
8:00 am - 12:00 pm CDT
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Northern Trust Building
50 S LaSalle St, 6th Floor
Chicago, IL 60603 United States
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