Compliance Management Policy
The purpose of this Compliance Management Policy Template is to address the Compliance Management Program of a bank, credit union, 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
- Policies, Procedures and Processes – Topic 10
- Training and Communication – Topic 11
- Compliance Monitoring and Auditing – Topic 12
- Forms Management – Topic 13
- Centralized Compliance Information Resources – Topic 14
- Complaint Policy – Topic 15
Includes the following form templates:
- Complaint Log (1 page)
- Complaint Report (1 page)
This Compliance Management Policy Template (approximately 47 pages) is available to purchase from BankPolicies.com in Microsoft® Word format.
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When updates are made you will receive detailed information regarding why the product was updated and what has changed within the product in our Product Update Notification e-mail correspondence. This enables you to make an informed decision on whether to make any changes to the policy or procedure you implemented for your financial institution from the revised template.
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