Attend the Conducting a Risk-Based Compliance Audit Seminar from the convenience of your own office or home via Live Streaming Video as it happens on Thursday, May 27th (9:00 am ‘ 4:00 pm Central Time), or at your own convenience with 6 months of OnDemand playback.
Banking requires taking risks in order to earn profits. Risk levels, however, must be appropriately managed and controlled. A bank’s safety and soundness is contingent upon effectively identifying and managing its Compliance Risk exposures therefore, the bank’s Compliance Audit program must be risk-based.
Because market conditions and bank structures vary, no single compliance audit system works for all banks. Each bank should develop its own program tailored to its needs and circumstances. Regardless of the compliance audit / risk management program’s design, it should include mechanisms for identifying, measuring, controlling, and monitoring risks.
Content
- Compliance Audit Programs ‘ what the examiners are looking for
- Volume and significance of compliance violations
- Identifying high risk regulations and developing a compliance review schedule
- Review of compliance policies and procedures
- Personnel ‘ level of compliance knowledge
- Compliance control systems
- Effectively report compliance matters to the board
- Understand tools and resources available to you
Who Should Attend?
This informative session is designed for auditors, compliance officers and compliance council/committee members. Risk Managers, Managers and Assistant Managers will also benefit from the information that will be presented.
Continuing Education (CE) Credits
This webinar is recommended for 2.5 CE Credit Hours. Each attendee will receive a Certificate of Attendance for self-reporting of CE Credits.