Compliance Policies and Procedures

This is the third of four “roll up your sleeves” compliance workshops Pegasus has scheduled for 2012. Each focuses on “how to” elements of compliance. We encourage, but do not require you to send two or more registrants to make certain you take home a template for the policies and procedures your regulatory agency expects you to have as well as a co-worker who will support you in implementing change.

Once it was called “fear of the white page.” Today, it would be “fear of the white screen.” The challenge of writing something completely new is stressful for all of us. Regardless, your financial institution must demonstrate the continuity that written policies and procedures indicate. This workshop gives you that place to start.

You will talk with your peers and a facilitator about:
• Making practical distinctions between what should be in a policy and what should be in a procedure
• How do you communicate policies and procedures to your personnel?

Policies
• What policies are required by law?
• In addition to the policies required by law, what other policies should be reduced to writing?
• Should all written policies be board approved?
• Can you develop a template for your policies that will work on an institution-wide basis?
• Who is your readership for policies?
• How often do you conduct a formal review of your policies?
• How do you recommend changes to policies?
• Should you ever buy policies from a vendor? If you do, what comes next?
• How do you deal with/respond to a third party criticism of one of your policies?
• How do you use policies for board training? Employee training?

Procedures
• What is our “level of assumption;” i.e. who are you writing for?
• How do you develop a consistent, institution – wide format for your procedures?
• How do you prioritize which procedures to put in place first?
• Is there a logical process to follow in writing procedures?
• How do you get employees to “buy in” to procedural changes?

These programs are not training sessions in the traditional sense. We're asking for participants, not just attendees. We want two people to come from your institution with their sleeves rolled up, ready to talk about the challenges they face, the help they need, and the ideas they want to discuss.

In these professionally facilitated peer group discussions Ken starts the discussion, encourages your participation, and records your conclusions. You go home with tools, ideas, peer contact information, and increased confidence that you can do the job in front of you. Between meetings, you will have access to the 2012 Compliance Workshop Forum for this session via the Internet. You are able to ask questions; post sample policies and procedures; and share your experience with bankers across the state who are in the same position you are.

Dates & Locations

Date Location Property Name Phone Map Thursday, August 2, 2012 Bowling Green, KY WKU Conference Center (270) 745-1908 Map it! Tuesday, August 21, 2012 Elizabethtown, KY Convention and Tourism Bureau (270) 765-2175 Map it! Wednesday, August 22, 2012 Lexington, KY Embassy Suites (859) 455-5000 ‎ Map it!

Attendee Info

Registration opens 30 minutes prior to the program. Please bring a jacket or a sweater. Temperature is often difficult to control. All attendees registered receive an email reminder three days prior to the program. For questions about registration click here or call 1-888-550-4555. Meals and breaks : Continental breakfast. Lunch is provided. Breaks provided. Cancellations: Substitutions are always welcome. Paid registrants cancelling up to 7 days prior to the seminar receive full refunds. There are no adjustments for cancellations received after that date, including those that may be related to weather.

Speaker Bio

Ken Golliher is a principal with Pegasus Educational Services, LLC. He is an experienced banker with a unique ability to reduce complex legal concepts to plain English. He has explained the “why” and “how” of regulations to thousands of financial institution personnel and examiners. Ken’s banking career began in 1972 and includes serving as a teller, commercial operations manager and as trust department legal counsel in a state and a national bank. For ten years he headed the education division of a regional consulting firm for financial institutions. He has served on the faculty of the LSU Graduate School of Banking, the OTS’ Level I Compliance School and the FDIC’s Advanced Consumer Protection school for examiners. Ken has also been an instructor at compliance schools sponsored by the Illinois, Georgia, Indiana and Nebraska bankers associations.