Tuesday, November 7, 2023 from 9:00 AM to 2:30 PM EST
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DoubleTree by Hilton Hotel 
42 Century Dr
Bristol, CT 06010

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David Larocque 
Bank Compliance Association of CT 
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BCAC Event: Compliance Management Systems Seminar 

BCAC is pleased to announce a three-quarter day seminar on Compliance Management Systems.

This presentation has been approved by the American Bankers Association for 5.25 CRCM CE Credits*.

Topics that will be covered include: 

  • The definition of a CMS
  • Change management
  • The role of Risk Management in preventing compliance violations
  • An in-depth review of the compliance program requirements

Member Price: $125

Non-Member Price: $175


We're pleased to have as our presenters, Stephanie Lyon, Vice President of Regulatory Content Strategy & Compliance and Michael Carpenter, Vice President of Risk Management, from NContracts. 

Stephanie Lyon directs Ncontracts’ regulatory compliance, risk and audit programs, which includes product development and content. Prior to joining Ncontracts, she was a senior compliance counsel at NAFCU where she advised over 800 financial institutions on compliance-related topics. Ms. Lyon serves as a faculty member for several compliance, risk management and Bank Secrecy Act schools and seminars around the country and is a well-regarded public speaker at industry functions. She is also a frequent author on compliance and risk. She got her start in the industry by serving in key roles at financial institutions in risk management, compliance and BSA operations. Currently, Ms. Lyon is an advisory board member for the George Washington University Credit Union Initiative where she is able to give back to the school where she obtained her law degree.

Michael Carpenter is an indispensable resource in helping bankers understand the importance of risk management, compliance, and effective third-party vendor management. His motivational approach empowers bankers to build stronger, more proactive and more resilient institutions. Prior to joining Ncontracts, Mr. Carpenter served as the vice president of risk management at several banks and credit unions. His broad base of industry knowledge is the result of building and running programs—including director training and reporting, compliance management, information security, BSA/AML, among others—at both small community financial institutions and larger institutions such as Key Bank and Chase Bank. He is the veteran of the U.S. Army.


 Compliance Officers, Risk Officers, Other Compliance Personnel 


8:30 - 9:00 Registration

9:00 - 10:15 What is a CMS and Why You Should Have One, Navigating Change Management, The Role of Risk Management and Risk Tools in Preventing Consumer Compliance Violations

10:15- 10:30 Mid-Morning Break

10:30 - 12:00  In Depth Review of the Compliance Program Requirements, Part 1

12:00 - 1:00 Lunch and Networking

1:00 - 2:30 In Depth Review of the Compliance Program Requirements, Part 2

Please submit your questions in advance to info_bcac@bcac-ct.org.



This presentation has been approved by the American Bankers Association for 5.25 CRCM CE credits.

ABA Professional Certifications is dedicated to promoting the highest standards of performance and ethics within the financial services industry. This statement is not an endorsement of this program or its sponsor.


Membership: Membership is on an individual basis. Program registration substitutions or in lieu of another is not permitted. To become a BCAC member, please use this link: JOIN BCAC

Payment Policy: The BCAC will not be able to accommodate individuals/organizations who have not paid in full for prior registrations.

Refund Policy: A refund will be issued if you contact the program chairperson at least 72 hours prior to the scheduled program. The refund will be in the form of a credit toward a future meeting.

Cancellation Policy: If the program is canceled, it will be canceled one day prior to the program and registered attendees will be notified by email when possible.   Notification will be sent to all members announcing the rescheduled program. At the discretion of the BCAC, a refund will be made, or credit will be given for a future program.

Any reference to any person, or organization, or activities, products, or services related to such person or organization, or any linkages from any presentations  to the web site of another party, do not constitute or imply the endorsement or recommendation by BCAC or any of the Board of Governors.