Compliance Risk Assessment – The Full Cycle (5-Part Series)

A strong Compliance Management System (CMS) is not built in a day and it certainly isn’t built by checking boxes.

This comprehensive 5-part series is designed to help compliance officers and financial institution leaders understand how every piece of an effective CMS works together—from foundational structure and risk assessments to testing, monitoring, governance, and third-party oversight.

Whether you are building a program from the ground up, strengthening an existing framework, or preparing for increased regulatory scrutiny, this series provides the practical guidance needed to move from reactive compliance management to a proactive, risk-based strategy.

Led by Kimberly Boatwright, this training walks participants through the full compliance lifecycle and shows how to create a CMS that is defensible, efficient, and aligned with regulatory expectations.

Across five focused sessions, participants will learn how to:

• Build and strengthen a Compliance Management System that supports the entire institution
• Break down silos across Fair Lending, Deposits, CRA, TPRM, and other compliance functions
• Conduct meaningful compliance risk assessments that drive priorities and resource allocation
• Develop effective monitoring and testing programs using the Three Lines of Defense model
• Strengthen governance, board reporting, complaint management, and third-party oversight
• Improve regulatory exam readiness with a practical, risk-based approach
• Create stronger accountability, consistency, and compliance culture across departments

This series is ideal for compliance officers, risk professionals, auditors, operational leaders, and management teams who want a clearer understanding of how a strong CMS protects both the institution and its customers.

Rather than treating compliance as a collection of separate responsibilities, this program helps participants see the full picture—and equips them with the tools to manage it confidently.

Series Schedule

Part 1: Compliance Management System Overview
July 8, 2026 

Build a strong foundation by understanding what regulators expect from an effective Compliance Management System (CMS) and how it supports consumer compliance risk management across the institution. This session covers the core components of a CMS, including policies, procedures, training, monitoring, corrective action, and breaking down silos across departments.

Part 2: Compliance Management System: Building a Program
July 15, 2026

Learn how to design and structure a CMS that brings Fair Lending, Deposits, CRA, TPRM, and other compliance functions into one unified framework. This session focuses on creating consistency, strengthening oversight, and building a compliance program that improves accountability and exam readiness.

Part 3: The Compliance Risk Assessment
July 22, 2026

Discover how compliance risk assessments serve as the engine of a risk-based compliance program. Participants will learn practical methods for identifying, measuring, and prioritizing risk so compliance resources are focused where they matter most.

Part 4: Compliance Management System: Compliance Testing & Monitoring Program
July 29, 2026

Understand how to build an effective compliance testing and monitoring program that validates controls, identifies risk, and supports regulatory expectations. This session also explains the Three Lines of Defense model and clarifies the important distinction between compliance oversight and internal audit.

Part 5: Compliance Management System: Governance, Third Parties, and Everything Else
August 5, 2026

*Your registration includes on-demand access to series recordings.