We often hear compliance officers say they do compliance for a living. But that’s not really true…or it shouldn’t be. Compliance officers shouldn’t be caught up in the actual “doing” but rather the managing of compliance. Compliance officers are the conduit of information for their institution.
David explains more in the video.
Video Highlights:
- Compliance officers manage the process of ensuring procedures are in place for individuals and departments to comply with regulations.
- Compliance officers act as a conduit of information, providing guidance and giving feedback.
- The compliance officer helps ensure success by assisting the team in understanding regulations and carrying them out effectively.
Published
2023/07/24
David’s banking career began as a field examiner for the FDIC in 1990. He later became a Compliance Officer and Loan Officer for a small bank. In 1993, he established Banker’s Compliance Consulting. Along with his amazingly talented Team, he has written numerous compliance articles for prestigious banking publications and has developed compliance seminars that Banker’s Compliance Consulting produces.
He is an expert in compliance regulations. He is also a motivational speaker and innovative educator. His quick wit and sense of humor transforms the usually tiring topic of compliance into an enjoyable educational experience. David is on the faculty of the American Bankers Association National Compliance Schools and has served on the faculty of the Center for Financial Training for many years. He also is a frequent speaker at the ABA’s Regulatory Compliance Conference. He is also a trainer for hundreds of webinars, is a Certified Regulatory Compliance Manager (CRCM) and has been a BankersOnline Guru for many years. The American Bankers Association honored David with their Distinguished Service Award in 2016.
David and his wife Karen have three adult children, four grandchildren (none of whom live at home!) and two cats (of which Dave is allergic … the cats, not the children!). They recently moved to an acreage outside of Lincoln, Nebraska where he gets to play with his tractor. When possible David can be found fishing, making sawdust in his shop, or playing the guitar and piano. He also enjoys leading worship at his church.
