Regulatory Compliance Monitoring - How are you Managing It?

Instructor: Gina Lowdermilk
Product ID: 705817
  • Duration: 60 Min
This webinar will highlight the risks of ineffective regulatory compliance monitoring and teach you how to assess your current program, what are key components of program and overall best practices of making it better.

recorded version

1x Person - Unlimited viewing for 6 Months
(For multiple locations contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section
Last Recorded Date: Nov-2018

Training CD / USB Drive

One CD/USB is for usage in one location only.
(For multiple locations contact Customer Care)
CD/USB and Ref. material will be shipped within 15 business days

Customer Care

Fax: +1-650-362-2367

Email: [email protected]

Read Frequently Asked Questions

Why Should You Attend:

Regulatory compliance monitoring is a critical process that allows financial institutions the ability to assess their current regulatory compliance efforts to determine its effectiveness. An effective regulatory compliance monitoring program will help a financial institution identify potential areas for improvement, as well as identify any gaps which would put the financial institution in non-compliance with regulatory compliance rules and regulations.

Attend this webinar to get insights and considerations for a financial institution to ensure that it’s regulatory compliance monitoring efforts are adequate and appropriate for its institution. The component which need to be part of this program, how to assess current program and what to do to make it better. Additionally, it will provide suggestions and recommendations to consider to help enhance their current regulatory compliance monitoring program.

Areas Covered in the Webinar:

  • What is regulatory compliance monitoring?
  • Common components of monitoring
  • Important considerations for your monitoring program
  • Assessing your current monitoring program
  • Some ways to determine the effectiveness of your current monitoring program
  • Making it
  • To understand what makes a good regulatory compliance monitoring program, and to determine what a financial institution may be able to do to further enhance theirs.

Who Will Benefit:

  • Compliance Officers
  • Compliance Personnel
  • Internal Audit
  • Operations
Instructor Profile:
Gina Lowdermilk

Gina Lowdermilk
BSA/Compliance Auditor and Consultant

Dr. Gina J. Lowdermilk,PhD (ABD), CAMS, CRMS is a highly experienced and educated BSA/AML and Financial Regulatory Compliance professional with extensive policy and procedure development and implementation, training, internal audit, monitoring, risk management, and reporting experience. Her emphasis has been working with financial institutions that are experiencing regulatory concerns and resolutions, including enforcement actions such as memorandums of understanding and cease and desist orders. Her 15 years of experience has given her the opportunity to work from small community banks to large, international financial institutions. Her roles not only included BSA/AML and Compliance, but also operations, lending services, business development, marketing, management, department development, and asset quality.

Ms. Lowdermilk has worked with all of the financial regulators and examiners. She possesses advanced Microsoft Excel, PowerPoint, Word, Internet Explorer, Visio, and Access skills. She also has experience with FiServ, BAM, CRA Wiz, TeamMate, COGNOS, and Metavante banking software. She has been responsible for creating both recurring and ad hoc executive management and board presentations. In addition to her above experience, she is also an adjunct instructor for the business and construction management programs at a local college, as well as writes numerous BSA/AML and Compliance articles, training materials, and manuals as requested from numerous clients.

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Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

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