Internal Compliance Monitoring & Risk Assessment
On-Demand Webinar
StreamedDec 5, 2024Duration90 minutes
- Unlimited & shareable access starting two business days after live stream
- Available on desktop, mobile & tablet devices 24/7
- Take-away toolkit
- Ability to download webinar video
- Presenter's contact info for questions
Regulatory expectations for a strong, well-defined, and documented compliance management system (CMS) continue to increase.
Whether you are a small,
community financial institution or a large regional bank, your CMS is not
complete without a plan for internal monitoring and ongoing testing.
AFTER THIS
WEBINAR YOU’LL BE ABLE TO:
- Define the components of a risk assessment and understand the importance of planning and documenting your compliance management program
- Identify the relationship between your compliance risk assessment and schedule for internal monitoring and testing
- Build a detailed risk assessment specific to your institution
- Design and implement an individualized compliance monitoring schedule
- Establish criteria for reporting compliance results to the board and senior management
WEBINAR DETAILS
This
session will walk through components of a compliance risk assessment to support
your CMS and provide elements for consideration during the development process.
It will address the process for developing the scope and schedule of a
monitoring plan. All systems should be tested regularly to ensure things are
working as intended, and the CMS is no different. Join us to explore how
assigned risks link to the frequency of transaction testing and what to do with
the results once testing is completed.
TAKE-AWAY TOOLKIT
- Sample compliance management policy
- Risk assessment checklist and sample internal monitoring schedule
- Employee training log
- Interactive quiz
- PDF of slides and speaker’s contact info for follow-up questions
- Attendance certificate provided to self-report CE credits
NOTE: All materials are subject to copyright. Transmission, retransmission,
or republishing of any webinar to other institutions or those not employed by
your institution is prohibited. Print materials may be copied for eligible
participants only.
TESTIMONIALS
"Emily's knowledge and experience helped me gain more insight on Risk Management overall!"
- Brandy, IBAT
"Good information. She is very knowledgeable and well-spoken."
- Wendy, Heritage Community Bank
Presented By

Mauldin & Jenkins, LLC
Other Webinars That Might Interest You

Preventing & Addressing Crime: Cyber, Human Trafficking & Disaster Relief
by Deborah L. Crawford

BSA for Officers & Directors
by Mary-Lou Heighes

Three Key Risk Assessments in Your ERM Program: ERM, IT & Internal Controls
by Marcia Malzahn

The Board Secretary Role: Organizing, Planning, Tracking & Maintaining Accurate Board Meeting Records
by Dawn Kincaid

Credit Reporting Risks in the Banking Environment
by David A. Reed

Conducting a BSA Audit
by Deborah L. Crawford

Vendor Due Diligence & Effective Vendor Management
by David A. Reed

Liquidity & ALM Audit Issues
by David Heneke

Advanced CTR Completion: Beyond Basic Transactions
by Dawn Kincaid

Common Mistakes in Consumer Collection
by David A. Reed
© 2025 FINANCIAL EDUCATION & DEVELOPMENT, INC