Compliance Management Policy
This Compliance Management Policy Template addresses the Compliance Management Program of a bank, credit union, fintech company, or other type of financial institution in order to adhere to all applicable laws, rules and regulations. In general, an organization’s Compliance Management Program is designed to prevent or reduce regulatory violations, protect consumers and customers from noncompliance and associated harms, decrease the costs and risks of litigation affecting revenues and operational focus, and help align business strategies with outcomes.
Table of Contents
- Purpose and Contents – Topic 1
- Policy Statement – Topic 2
- Risk Management – Topic 3
- Structure of Accountability and Responsibility – Topic 4
- Consumer Compliance Rating System Reference – Topic 5
- Responsible Business Conduct Standards – Topic 6
- Treatment of Confidential Supervisory Information – Topic 7
- Incentive Compensation Standards – Topic 8
- Protection Principles for Consumer-Authorized Financial Data Sharing – Topic 9
- Standards for Serving Customers with Limited English Proficiency – Topic 10
- Policies, Procedures and Processes – Topic 11
- Training and Communication – Topic 12
- Compliance Monitoring and Auditing – Topic 13
- Forms Management – Topic 14
- Centralized Compliance Information Resources – Topic 15
- Complaint Policy – Topic 16
Includes the following form templates:
- Complaint Log (1 page)
- Complaint Report (1 page)
Recent updates to this product:
OCC Bulletin 2022-21 – Information Security: Expectations for Protecting Non-Public OCC Information on Institution- or Other Non-OCC-Owned or Managed Video Teleconferencing Services
OCC Bulletin 2022-2 – State Community Reinvestment Laws; Consumer Complaint: Input from State Officials and Consumer Complaint Referrals from States
This Compliance Management Policy Template (approximately 53 pages) is available to purchase from BankPolicies.com in Microsoft® Word format.
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