Compliance Manager's Workshop

Why Attend?
You're a company owner, manager or have been tasked with establishing compliance for your company. You may have some ideas, but you need structure and would like to get a handle on your company's compliance sooner rather than later. 
What you get?

• 2-Day Intensive Training Program
• Comprehensive Reviews of Key Policies:
  • Quality Control (1-0)
  • Compliance (2-0)
  • IT Security (2-9)
  • Business Plans (7-A)
  • Employee Handbook (7-5)
• Learn Audit and Reporting Best Practices
• Earn Certification Upon Completion

Who Should Attend?

• Compliance Officers,
• Mortgage Brokers/Owners and Correspondents
• Quality Control Specialists
• Company Managers

Key Takeaways:

• Complete understanding of policies and procedures
• Detailed steps for each major compliance hurdle
• Gain practical insights from real-world case studies - state examinations

Secure Your Spot Today!
Space will be limited to 12-15 attendees

Register today - Discounted Prices Expire Soon!

Two-Day Compliance Officer Boot Camp and Workshop
Day 1: Building the Foundation
​Morning: Introduction and Core Compliance Framework

1. Welcome and Overview
   • Introduction to the role of a compliance officer.
   • Key challenges and objectives of compliance management.
2. Compliance Roadmap
   • Overview of the compliance lifecycle.
   • Key milestones in building a compliant operation.
3. Review of Key Policies and Procedures
   • 1-0 Quality Control: Essentials of QC for regulatory compliance.
   • 2-0 Compliance: Overview of compliance obligations and enforcement.
   • 2-9 IT Security: Protecting data integrity and security measures.

Afternoon: Operational Compliance

1. Process Management
   • Creating compliant workflows for:
     • Loan application and submission.
     • Compliance checks and reporting.
   • Risk management in daily operations.
2. LOS (Loan Origination System) Assessment
   • Critical functionalities for compliance:
     • Pipeline reporting.
     • NMLS compliance reporting.
     • QC and conditions reporting.
3. Training for a Culture of Compliance
   • Developing effective training programs for:
     • New hires (AML, OFAC compliance).
     • Ongoing education for experienced employees.
   • Quick-start guide: Structuring compliance training modules.

Day 2: Practical Applications and MasteryMorning: Monitoring, Audits, and Reporting

1. Audits and Reporting
   • Self-audit best practices.
   • Preparing for state examinations:
     • Required documentation and best practices.
     • Responding effectively to audit findings.
2. Review of Additional Documents
   • 7-A Business Plans: Ensuring alignment with compliance objectives.
   • 7-5 Employee Handbook: Key compliance elements for personnel policies.
   • Incorporating compliance requirements into everyday operations.
3. Quality Control in Compliance
   • Establishing metrics and QC processes for continuous improvement.
   • Tools and techniques for monitoring compliance.

Afternoon: Advanced Applications and Certification

1. Business Development with a Compliance Lens
   • Selecting compliant investors, wholesalers, and lenders.
   • Ensuring marketing strategies align with regulatory standards.
2. Recruiting and Managing Staff
   • Hiring and managing personnel with compliance in mind:
     • Loan originators.
     • Processors and administrative staff.
3. Capstone Project
   • Develop a compliance roadmap for a sample company.
   • Include a summary of insights from the reviewed documents.
   • Present strategies and receive peer feedback.
4. Certification and Wrap-Up
   • Final review and Q&A session.
   • Certification exam: Earn the "Certified Compliance Officer" credential.
   • Feedback and networking session.

Delivery Format

• Day 1: Establishing foundational knowledge and reviewing critical policies (1-0 QC, 2-0 Compliance, 2-9 IT Security).
• Day 2: Advanced applications, monitoring, audits, and additional document review (7-A Business Plans, 7-5 Employee Handbook).
• Resources Provided:
  • Compliance templates, audit checklists, training guides.
  • Summaries of reviewed documents with actionable recommendations.
  • Sample reports and roadmaps for future reference.