Implementing Agency Identified Issues into Compliance Auditing Programs
Thursday, April 15, 2021
11:00 am – 12:30 pm Eastern
Join us as we analyze consumer compliance issues identified by the CFPB and other regulatory agencies. Not only will we discuss the issues in detail, but we have developed auditing and monitoring activities that you can utilize to ensure these areas are not issues at your institution!
Internal auditing and monitoring for consumer compliance are important components of your institution’s compliance management system. Don’t be caught off guard by a known regulatory compliance issue! Join us as we discuss regulatory agency identified compliance weaknesses and how to implement an effective testing program designed to proactively identify consumer compliance issues at your institution.
Topics Covered:
- Tips on Developing Auditing & Monitoring Schedules
- Understanding the Components of the FFIEC Consumer Compliance Examination
- The Benefits of a Proactive Compliance Program
- Most Frequently Cited Regulatory Violations
- CFPB: Supervisory Highlights
- FDIC: Consumer Compliance Supervisory Highlights Overview
- Federal Reserve System: Consumer Compliance Outlook
- Examples of communications that result in UDAAP concerns
- Utilizing CMP Reports as Auditing and Training Tools
- Flood - Issues that lead to CMP’s!
- Ready to use checklists for several of the areas discussed!
Who Should Attend?
This informative session is designed for operations managers, compliance officers, risk officers and auditors but will cover issues identified on both the lending and deposit areas.
Instructor
Molly Stull
Molly began her banking career on the teller line while working on her undergraduate degree and has continued working in the financial industry ever since. Some of her experience includes roles in operations, business resumption planning, consumer compliance, and conducting audits. Her favorite role is ensuring that her audience, whether on the sports field or in the financial industry, understands the "why" behind the rule. Her wealth of financial knowledge and her numerous years of experience enable her to relate the material to the audience.
Attendance verification for CE credits provided upon request.
Webinar Sponsored by Total Training Solutions
If you are having issues with registering online, please contact CBAO's Education, Training & Special Event Coordinator, Patti Webb, (614) 610-1877.
| Registration Options (Member/Non-Member Pricing) |
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Live Plus Five ($265/$400) – Attend the live event and receive five business days of unlimited access to the OnDemand Playback and links to presenter materials and supplementary handouts.
Live Plus Five (Additional Hookup) ($175/$265) – Registering another banker from a different location for Live Plus Five.
OnDemand Recording ($295/$450) – Receive unlimited access to the OnDemand Playback for 6 months and links to presenter materials and supplementary handouts. This option does not include live session attendance.
CD-ROM ($345/$515) – Receive the webinar recording on a CD-ROM 7-10 business days after the Live event or your registration date (whichever is the latter). Receive unlimited access to the OnDemand Playback for 6 months and links to presenter materials and supplementary handouts. This option does not include live session attendance.
Live Plus Six ($365/$545) – Attend the live event and receive six months of unlimited access to the OnDemand Playback and links to presenter materials and supplementary handouts.
Premier Package ($395/$600) – Includes all three base options. Live attendance, OnDemand Playback for six months, and the CD-ROM.
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