Successful Compliance Auditing & Monitoring
On-Demand Webinar:
StreamedJun 27, 2024Duration90 minutes
- 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
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.
AFTER THIS
WEBINAR YOU’LL BE ABLE TO:
- 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
WEBINAR DETAILS
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.
WHO SHOULD ATTEND?
This
informative session is designed for compliance officers, risk officers, and
auditors. It will benefit both new and seasoned staff.
TAKE-AWAY TOOLKIT
- 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
Brode Consulting Services, Inc.
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