Compliance Officer Training: Risk Assessments, Monitoring & Testing

Examiners’ expectations for your compliance management system cover a wide range of administrative tasks for compliance officers, whether new or seasoned. Since the compliance officer is considered the expert at your financial institution, how do you keep up with the ever-changing regulatory environment? This session will address some of those tasks, including developing compliance risk assessments, monitoring, spot-checking, testing, developing solid workpapers, and preparing the final report of the review. Join us for the training, insight, resources, and tools needed to ensure success!

Recorded June 30, 2016

Continuing Education: Attendance verification for CE credits upon request


  • Navigating the constantly changing regulatory alphabet soup
  • Resources on regulatory changes and compliance
  • Developing a risk-based compliance monitoring schedule and reporting process
  • Components of exceptional workpapers
  • Tips on compliance testing within your organization
  • Developing different compliance risk assessments

    • Regulatory risk assessment samples
    • Compliance review schedule
    • Sample compliance workpapers
    • Compliance review report
    • Resources for keeping abreast of regulatory changes
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key


This informative session is designed for new compliance officers seeking guidance on how to orchestrate and apply a risk-based approach and take their institution’s compliance function to the next level while maintaining efficiency and effectiveness. It will also benefit seasoned compliance officers in fine tuning their existing compliance management system.

Webinar content is subject to copyright and intended for your individual financial institution’s use only.