Sep 27

Compliance Officer Training: Risk Assessments, Monitoring & Testing

Registration Options & Pricing

Please select your membership status.

Live Webinar Includes

  • One connection to the Live Webinar
  • Handout and Take-Away Toolkit
  • Available on Desktop, Mobile & Tablet
  • Presenter’s Contact Info for Follow-Up

Recorded Webinar Includes

  • Recording of the Live Webinar
  • Available 6 business days following Live date
  • Available for 6 months following Live
  • Handout and Take-Away Toolkit
  • Available on Desktop, Mobile & Tablet
  • Free Digital Download, yours to keep
  • Share link with anyone at your credit union
  • Presenter’s contact info for follow-up

9:00 am – 10:30 am HST
12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET

The FFIEC Consumer Compliance Rating System requires identification of risks related to financial institutions’ products, services, and activities. This webinar will examine the basic anatomy of a risk assessment and review common risk assessments. Once risks have been identified, you will get tips and tools for monitoring and testing to ensure consumer compliance risks are uncovered, documented, and communicated. Participants will learn how to stay current with the ever-changing regulatory environment and your institution’s internal product and service changes. This webinar will clarify any ambiguity associated with risk assessments and provide the tools you need to succeed.

Continuing Education:   Attendance verification for CE credits upon request


  • How compliance exam ratings are impacted by risk assessments, monitoring, and testing
  • Anatomy of a risk assessment
  • Overview of commonly used assessments
  • How to develop a risk-based compliance monitoring schedule and reporting process
  • Difference between monitoring and auditing

    • Compliance risk assessment
    • Compliance review schedule
    • Monitoring report
    • Compliance review report
    • Resources for staying abreast of regulatory changes
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key


"Simplifying the Compliance Function: Tools & Checklists to Keep You on Track"
Thursday, February 8, 2018
Availability extended until December 31, 2018


This informative session will provide guidance on how to apply a risk-based compliance approach to identify compliance weaknesses. It will benefit both new and seasoned compliance officers and risk managers.


NOTE:  All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your financial institution is prohibited. Print materials may be copied for eligible participants only.


Brode Consulting Services, Inc.
You might be interested in:

We provide credit union webinars on compliance, lending, regulations, security, operations, new accounts, collections, fraud, security & other topics. For more information on credit union education and online training opportunities, join our mailing list.