2024 Risk Assessments, Compliance Management and Change Management

Risk Assessments, Compliance Management and Change Management
It’s All About the Game Plan

It’s All About the Game Plan is a workshop providing attendees with an understanding of the correlation between Risk Assessments, Compliance Management and Change Management.   Just like in sports, you have to have your game plan – identify your risks, develop your Compliance Management System according to your risk levels and proactively make adjustments when risk levels change.  This is an interactive class, not a lecture.  We will learn from each other as we discuss risk assessments, compliance and BSA policies alongside different banks’ approaches to change management. Bring your bank’s risk assessments, compliance and BSA policies to class. Familiarize yourself with the bank’s approach to change management.  We will have resources to share, as well!

INSTRUCTORS:
Lisa Berry, CRCM, CCBCO, Member 
Conformance, LLC 

Shannon Brasher, CRCM, CAFP, CCBCO and CBAP, Member
Conformance, LLC 


Learning Goals include:

The true importance of accurate risk assessments:
o    Risk Assessment basic requirements, a refresher!
o    Who should be involved?
o    How detailed should the risk assessment be?
o    How often should the risk assessment be updated?
o    Does the risk assessment accurately tell the story?
o    What do we really do with the risk assessment?

The risk-based, risk-focused Compliance Management System and how it affects:
o    Policies, procedures, and processes 
o    Training
o    Monitoring
o    Audit

The importance of proactive change management:
o    What exactly is change management?
o    When do we need change management?
o    Why do we need change management?
o    What are the regulators’ expectations?
o    What are the keys to successful change?


ABOUT THE INSTRUCTORS:

LISA BERRY
Lisa Berry is a founding member of Conformance LLC with more than 40 years of experience in the financial services industry. Lisa performs Compliance Management System, Loan and Deposit Compliance, Bank Secrecy Act, Fair Lending, Community Reinvestment Act and ACH reviews. She offers training to our institutions for their Boards and personnel and has been a speaker at state banking schools in the southeast.

In addition to regulatory compliance, Lisa’s banking experience has included everything from teller, branch management, correspondent banking and commercial, consumer and mortgage lending. She has worked with a large regional bank and had the incredible experience of being on the ground floor of a de novo bank where she served as the bank’s Chief Risk Officer. Before forming Conformance LLC with Shannon Brasher, Lisa was a Principal with Warren Averett LLC in their Financial Services Division.

Designations and Certifications
Certified Regulatory Compliance Manager
Certified Community Bank Compliance Officer

Education
Bachelor of Science
University of Alabama, Tuscaloosa, AL

SHANNON BRASHER
Shannon is a founding member of Conformance LLC with more than 24 years of experience in the financial services industry. Shannon performs Compliance Management System, Loan and Deposit Compliance, Bank Secrecy Act, Fair Lending, Community Reinvestment Act and ACH reviews. She offers training to our institutions for their Boards and personnel and has been a speaker and trainer at state banking schools in the southeast. 

Before forming Conformance LLC with Lisa Berry, Shannon was a Principal with Warren Averett LLC in the Financial Services Division. Shannon wore many hats at a de novo bank. Starting as a Customer Service Representative, she quickly assumed more duties, ultimately serving as Vice President and Loan Services Manager, Compliance Officer and BSA Officer. Shannon has the knowledge, experience and talent to train a group of bankers or provide one on one training and consulting. She has more than seven years consulting with financial institutions.

Shannon actively supports the Shelby County Special Olympics of Alabama.

Designations and Certifications
Certified Regulatory Compliance Manager
Certified AML Fraud Professional
Certified Community Bank Compliance Officer
Certified BSA/AML Professional

Education
Auburn University at Montgomery, Montgomery, AL