Risk Management Series:
Developing a Risk-Based Compliance Audit for Your Loan Portfolio

Wednesday, April 12, 2017

12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET

Enforcement actions and civil money penalties for lending violations can be expensive! This program will address how to develop a dynamic, risk-based loan audit program that can prevent violations and protect your financial institution’s reputation. Learn which lending regulations apply, how to maximize limited time and resources, and how to implement effective corrective action. You will also learn how to use risk-assessment tools, develop a testing schedule, and determine the sample size for transaction testing. Critical elements for testing key lending regulations, writing audit reports, and many practical tips for a successful deposit compliance program will be covered.

Continuing Education: Attendance verification for CE credits upon request


  • What are the benefits of using a risk-based compliance audit program for lending?
  • How are loan audit risk assessments completed?
  • What are the current hot buttons in loan audits and fair lending?
  • Five steps for a successful risk-based audit program
  • How to determine the audit scope and frequency
  • What are the eight elements of an audit program?
  • What type of corrective action should be recommended in an audit report?

    • Template for audit work papers based on loan compliance exam procedures
    • Sample checklists for selected lending regulations
    • Fair lending risk assessment template
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key

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This informative session is designed for compliance officers, auditors, loan operations, and risk managers.

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