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Course/Product Description

Developing a Risk-Based Compliance Audit Program

Date / Time: Recorded
Format: Webinar

Developing a Risk-Based Compliance Audit Program

This fast-paced seminar provides practical guidance to develop and maintain a risk-based compliance audit program. The CFPB has issued a "Readiness Questionnaire" for the sweeping mortgage changes in 2014. One of the questions asks "Have you updated your risk assessment to reflect the regulatory changes?" Your regulator will be asking this question in the next compliance exam. 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.

Covered Topics:

  • 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.

The Presenter

Susan Costonis is a compliance consultant and trainer. She also has an affiliation with gettechnical inc. as an associate trainer. Her 34 year career in banking and training began with 20 years at First National Bank an affiliate Wells Fargo Bank, in Fort Collins, CO. Susan has been a bank compliance consultant or compliance officer in Louisiana since 1998.

During her career, Susan has successfully managed compliance programs and exams for institutions supervised by the OCC, FDIC, and Federal Reserve. Susan regularly presents training to several state banking associations and specializes in compliance management, lending, and Fair Lending issues. She is a Certified Regulatory Compliance Manager and completed the ABA Graduate Compliance School. Susan also graduated from the University of Akron with a B.S in Art Education and the Graduate Banking School of the University of Colorado.

Cannot Attend The Live Presentation?

This presentation is also available in a recorded format, in On-Demand Or CD versions, as shown in the pricing options below.

About Webcasts / Audio Conferences / Podcasts:

Webcasts, audio conferences, and podcasts are presentations that you attend via the Internet, phone, or mobile device at a specified date and time for "live" versions, or at your convenience for "recorded" and "On-Demand" versions.

The live versions are interactive, meaning that participants can ask questions in real time, plus are a very cost-effective form of training because 1) you receive fast, convenient learning without any out-of-office time; 2) you can invite as many colleagues as you'd like to listen in on a single phone line; 3) you incur no travel expenses; and 4) you and your colleagues are back at work immediately after the session ends!

And though with recorded versions you do lose the ability to ask questions, you gain the ability to hear the presentation numerous times and to share it with others in your office.

Handout materials and the phone number for live presentations are made available to you prior to the event via email from the presenter and from the "MyAccount" link on the menu bar. Copies of the presentations are included with recorded versions.

Licenses / Designations / Educational Credits:CEU
All US States: 2.5
All Canadian Provinces: 2.5
About The Provider: Since 1983 Total Training Solutions has produced dozens of videotapes, CD-Roms, DVD's and web-based training modules. In addition to off-the-shelf products, Total Training Solutions also develops custom training products and consults with financial institutions to develop their own training curriculum.

For timely delivery of training topics, webinars or web conferencing is an unbeatable option. We now offer over 100 live programs per year and you can even purchase the recorded or ondemand session if you are unable to attend the live program.

We have worked exclusively with the financial industry since our founding. Because of this, we understand the needs of training departments in financial institutions and are alert to changes which affect the industry.

Webinar Descriptions:

Live Session:
Attend the live session with the opportunity to ask questions to the presenter. You also receive a link to the handouts. All registrations for a live event will be given access to the OnDemand recording, at no additional cost, for seven days following the event. This will allow a flexible alternative when last minute conflicts intrude on scheduled events.

Recorded CD:
CD-Rom includes audio and video of recorded webinar plus hard copy handouts. You will also receive 6 months access to the OnDemand weblink as an added free bonus.

Includes a weblink for unlimited viewing for 6 months after the date of the webinar as well as a link to handouts.

Live + Recorded:
Includes all three options above. Live session, OnDemand Weblink, and CD-Rom plus Hardcopy Handouts.

Live + OnDemand:
Includes two of the options above. Live session and 6 months access to OnDemand Weblink plus link to handouts.
More Info: Contact Us For More Information
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