Successful Compliance Auditing & Monitoring

June 27, 2024
Live Webinar:
DateJun 27, 2024Duration90 minutes
12:00 PM PDT01:00 PM MDT
02:00 PM CDT03:00 PM EDT
  • Unlimited connections for your institution
  • Available on desktop, mobile & tablet
  • Take-away toolkit
  • Presenter’s contact info for questions
On-Demand Webinar:
  • Unlimited & shareable access starting two business days after live stream
  • Available on desktop, mobile & tablet devices 24/7
  • Take-away toolkit
  • Ability to download webinar video
  • Presenter's contact info for questions
See Registration Options

Is your compliance auditing and monitoring process successful? How do you know?

This informative session will provide guidance on how to apply a risk-based approach to identify compliance weaknesses. It will be a great webinar for those new to the compliance auditing arena or for more seasoned staff wanting to finetune their auditing and monitoring. Don’t miss out on the useful take-away tools.
  • Create a risk-based compliance review schedule
  • Explain the difference between auditing and monitoring
  • Develop testing based on agency-identified weaknesses
  • Use agency-issued reports to stay abreast of hot topics
  • Communicate testing activities effectively


A critical component of a successful compliance management system is identifying consumer compliance risks arising from an institution’s products and services. This webinar will slice and dice this into manageable components, including the basic anatomy of a risk assessment, developing the audit schedule, and how to document your efforts into a comprehensive report. 

You’ll garner tools for developing testing to ensure that agency-identified weaknesses and regulatory changes are incorporated into the auditing and monitoring activities and get tips for staying abreast of internal changes to your institution’s products and services. Join us to ensure that your compliance auditing and monitoring program is effectively identifying consumer compliance issues.


This informative session is designed for compliance officers, risk officers, and auditors. It will benefit both new and seasoned staff.


  • Compliance risk assessment
  • Compliance review schedule
  • Compliance review report
  • List of resources for keeping abreast of agency-identified weaknesses
  • Examples of testing worksheets derived from agency-issued publications
  • Employee training log
  • Interactive quiz
  • PDF of slides and speaker’s contact info for follow-up questions
  • Attendance certificate provided to self-report CE credits

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

Presented By

Molly StullMolly Stull
Brode Consulting Services, Inc.