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Basic Banking for New Employees Part 2: Regulatory Issues, Exams, Audits

Why does your bank go through exams and audits and why is it so important that your bank does well on them? The banking industry is highly regulated for one main purpose – to provide customers with clear, accurate information so that they can make good financial decisions and account/loan choices. To accomplish that goal, regulators schedule many different examinations for banks throughout the year. In addition, your bank’s internal and/or external auditors conduct audits (tests) throughout the year before the examiners arrive. This session will provide an update on the types of exams your bank will experience, how it involves you, and your job responsibilities. It’s important to know the impact you have on the outcome of your bank’s exams!

Recorded Tuesday, November 17, 2015

Continuing Education: Attendance verification for CE credits upon request

HIGHLIGHTS

  • Background information on examiners and auditors
  • What is involved during compliance exams?
  • What are risk management exams?
  • Fair lending exams
  • Information technology exams
  • The internal/external audit process

  • TAKE-AWAY TOOLKIT
    • Cheat sheet on bank compliance regulations
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key

DON’T MISS PART 1!

This program is the second of two in a series. There’s still time to register for: “Basic Banking for New Employees Part 1: Banking System, Deposit Operations, Lending” on Wednesday, September 23, 2015 Or if you missed it, you can order an archive of the live webinar, complete with handout materials.

WHO SHOULD ATTEND?

This informative session is directed to new employees, but will also help all employees in your bank (particularly supervisors) to learn more about the ever-changing regulatory environment.

PLEASE NOTE

Webinar content is subject to copyright and intended for your individual financial institution’s use only.

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