Successful Compliance Auditing & Monitoring

Audit & Accounting Compliance Directors Information Technology Operations Security & Fraud Senior Management

On-Demand Webinar

StreamedJun 27, 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

See Registration Options

Is your compliance auditing and monitoring process successful? How do you know?

This informative session will provide guidance on how to apply a risk-based approach to identify compliance weaknesses. It will be a great webinar for those new to the compliance auditing arena or for more seasoned staff wanting to finetune their auditing and monitoring. Don’t miss out on the useful take-away tools.

AFTER THIS WEBINAR YOU’LL BE ABLE TO:

Create a risk-based compliance review schedule
Explain the difference between auditing and monitoring
Develop testing based on agency-identified weaknesses
Use agency-issued reports to stay abreast of hot topics
Communicate testing activities effectively

WEBINAR DETAILS

A critical component of a successful compliance management system is identifying consumer compliance risks arising from an institution’s products and services. This webinar will slice and dice this into manageable components, including the basic anatomy of a risk assessment, developing the audit schedule, and how to document your efforts into a comprehensive report.

You’ll garner tools for developing testing to ensure that agency-identified weaknesses and regulatory changes are incorporated into the auditing and monitoring activities and get tips for staying abreast of internal changes to your institution’s products and services. Join us to ensure that your compliance auditing and monitoring program is effectively identifying consumer compliance issues.

WHO SHOULD ATTEND?

This informative session is designed for compliance officers, risk officers, and auditors. It will benefit both new and seasoned staff.

TAKE-AWAY TOOLKIT

Compliance risk assessment
Compliance review schedule
Compliance review report
List of resources for keeping abreast of agency-identified weaknesses
Examples of testing worksheets derived from agency-issued publications
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

"I'm new to compliance at a small bank, this webinar gave me some much needed guidance!"

- Staci, Bank of Bozeman

Presented By

Molly Stull

Brode Consulting Services, Inc.

Related Webinars

Internal Compliance Monitoring & Risk Assessment