BankTrainingCenter.com offers banking exams, banking degree training, and professional development for banking professionals
Course/Product Description
Title:

Introduction to Compliance Risk Assessments

SKU:WT-1003016
Format: Webinar
Description:

Compliance Risk Assessments are not a regulatory requirement but the absence of, or deficiencies associated with, risk assessments are often identified as the root cause of many findings addressed in examination reports and enforcement actions.

Banking examination manuals repeatedly point out that banks are expected to be aware of the most significant compliance risks to the bank and to their customers and consumers. All risk assessments, whether they be for BSA, UDAAP or Compliance Management, share the same principles and methodologies and you will be provided the knowledge to conduct a risk assessment for all key compliance areas at your bank following this program.

Bank examiners provide significant credit to banks who have conducted their own risk assessments since they allow examiners to minimize their transaction testing and risk evaluation by instead validating the bank’s own risk assessment. Your risk assessment process is the first step in determining the scope and testing for the bank's monitoring programs as well as determining the scope and coverage of compliance audit programs.

While there is no one size fits all risk assessment methodology, the key is to arrive at a detailed analysis of the level of inherent compliance risk (before controls are factored in) for each applicable law or regulation, or by business unit or function, including the effectiveness of the compliance risk controls to measure, monitor and mitigate identified risk(s). The resulting residual risk ratings will contain recommended corrective action(s) designed to reduce residual risks to a level that is within the Board’s acceptable risk tolerance.

Covered Topics:

  • Difference between and expectations of internal vs external risk assessments
  • How to identify and measure inherent (environmental) and residual risks
  • How to identify all internal or external processes or functions considered Controls
  • Independence and knowledge level of personnel performing the risk assessment
  • Development of framework for scoping, identifying, assessing, testing, monitoring, and reporting
  • What should be documented and reported versus addressed informally
Who Should Attend

The program is designed for Risk Officers, Compliance Officers, BSA Officers, Fair Lending Officers, Auditors and supporting staff members.

The Presenter

Don L. Blaine is the Senior Training Consultant for Compliance Resource, LLC, a source of compliance assistance for financial institutions. Don has over 30 years of experience in regulatory compliance for the banking industry with banks ranging in size from community banks to money center banks.

He is considered a subject matter expert in many of the consumer affairs laws and regulations and will be primarily specializing in training activities that will encompass the Bank Secrecy Act/Anti-Money Laundering laws and regulations as well as many of the laws and regulations related to deposit compliance. His prior roles have included: Chief Compliance Officer, Senior Compliance Regulatory Examiner, Compliance Audit Manager, and business unit compliance manager. He has taught at the ABA's National Compliance School and has also served as an instructor on BSA and compliance topics at various programs offered by state banking associations.

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.

OnDemand:
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.
Price: $265.00
More Info: Contact Us For More Information
Share This: Share on Facebook


Share on Twitter


Share on Google+


Currently Scheduled Dates For This Webcast
Course TitleDatePrice
Introduction to Compliance Risk AssessmentsCD/On-Demand$295.00

BSA Series: 7 Core Components of an AML Program
BSA Series: 7 Core Components of an AML Program

ACH Origination
ACH Origination

Increasing Fee Income without Raising Fees
Increasing Fee Income without Raising Fees

Home Equity Lines of Credit
Home Equity Lines of Credit

Small Creditor Revisions,  ATR &QM Requirements
Small Creditor Revisions, ATR &QM Requirements

Dealing With Subpoenas, Summonses, Garnishments, Tax Levies, etc.
Dealing With Subpoenas, Summonses, Garnishments, Tax Levies, etc.

SSNs, EINs, and ITINs: Understanding Your Job as a Withholding Agent
SSNs, EINs, and ITINs: Understanding Your Job as a Withholding Agent

Best-Ever Compliance Checklists For Consumer Loans
Best-Ever Compliance Checklists For Consumer Loans

Certified Regulatory Vendor Program Manager
Certified Regulatory Vendor Program Manager

Reg E Compliance – Five Best Practices for Handling Disputes
Reg E Compliance – Five Best Practices for Handling Disputes

TRID Checkup: Areas of Concern and Uncertainty
TRID Checkup: Areas of Concern and Uncertainty

CSA Certified Senior Advisor
CSA Certified Senior Advisor

Loan Officer Boot Camp
Loan Officer Boot Camp

Loan Processing 101: The Basics
Loan Processing 101: The Basics

FHA Direct Endorsement - DE Underwriting
FHA Direct Endorsement - DE Underwriting

Tax Return Analysis Workshop For Mortgage Professionals
Tax Return Analysis Workshop For Mortgage Professionals

FacebookBankTrainingCenter.com. 5755 North Point Parkway, Suite 228 | Alpharetta, GA 30022 | 770-410-9375 | support@BankTrainingCenter.com
Copyright BankTrainingCenter.com 2017 | Web Site Development by OTAU
Facebook