Developing a Risk-Based Compliance Audit Program Webinar
This fast-paced seminar provides practical guidance to develop and maintain a risk-based compliance audit program. Have you been watching the amounts of recent civil money penalties for compliance violations? – see complete description below.
Click Here for Webinar Description and Audience
This fast-paced seminar provides practical guidance to develop and maintain a risk-based compliance audit program. Have you been watching the amounts of recent civil money penalties for compliance violations? Two examples were a $135,000 penalty for flood insurance and $60,000 for HMDA violations. Could an effective audit program have prevented these fines? Whether your bank is a small community bank or a large regional institution, this seminar will review the components of an effective audit program. Participants will be guided through completing a risk assessment, defining the audit scope, completing the audit and reporting the results. This webinar will provide tools and guidance to help you successfully manage the compliance audit function.
- What are the benefits to using a risk-based compliance audit program?
- How do you complete a compliance risk assessment?
- Five steps for a successful risk-based audit program
- How do you determine the audit scope and frequency?
- What are the eight elements of an audit program?
- Template for writing an audit report
- What does the Board need to know about the audit results?
- What type of corrective action is required when you find a compliance deficiency?
- Pros and cons of an internal audit function versus outsourcing an audit
Who Should Attend?
The program is designed for both experienced and new Compliance Officers, Auditors, Risk Managers, and Senior Management. Requirements for small and large banks are covered with a particular emphasis for FDIC supervised institutions.
Click Here for Continuing Education Credits (CEC) Info
This webinar is recommended for 2.5 CE Credit Hours. Each attendee will receive a Certificate of Attendance for self-reporting of CE Credits.
Click Here for Viewing Option Descriptions
INCLUDES SEVEN DAYS OF ONDEMAND PLAYBACK! With this option, you will participate in the webinar (via the internet) as it is being presented. You will login to the webinar on your PC to view the PowerPoint presentation, and you have the option of using your PC speakers or a telephone for the audio. Participants can type and send their questions to the instructor. Many companies are now running their PC through an LCD projector allowing many employees to participate in the same room.
SIX MONTH ONDEMAND VIDEO RECORDING:
With this option, you will receive an e-mail that contains a link to the PowerPoint slides (to download, print, and copy) as well as a link to the media player where you will view and hear the entire webinar just as it was delivered, featuring the full-color PowerPoint presentation with audio. You can pause, fast-forward and rewind as needed, which makes it an effective training tool. The weblink will be available to you (and anyone else in the company) for up to six months and can be accessed 24/7 as many times as you wish. Delivered via e-mail the day after the webinar takes place.
CD-ROM VIDEO RECORDING:
If you do not have internet access or want to make the webinar part of your training library, the CD-ROM Recording is a great option for viewing a webinar. You can pause, fast-forward and rewind as needed, which makes it an effective training tool. With this option, you will receive a download of the PowerPoint slides and a CD-ROM Recording (featuring PowerPoint presentation with audio) of the webinar via regular mail. Mailed 7 to 10 days after the webinar takes place.
Webinars can be scheduled and offered exclusively for your company. They can even be customized to best fit your needs. To find out more, please complete the in-house request form found in the Schedule and Registration Information section below.