Top 10 Hot Spots on Compliance Exams

Compliance hot spots are not a secret! They have been published. This example-packed webinar will cover the top findings identified during compliance examinations. Of utmost importance is knowing where to find the documents regulators use to communicate compliance issues detected during examinations. Next is determining whether these issues are occurring at your institution. As reported in Supervisory Highlights, Issue 28, the CFPB has recently identified a concerning trend where “examiners continue to identify the same violations of law across multiple institutions.” Even if you are aware of these issues, it is important that these guidance documents are discussed during compliance, management, and board meetings and incorporated into your compliance testing.

This webinar will address recent regulatory supervisory publications, including various blogs and publications with insight into compliance exam hot spots. While these documents provide guidance for developing internal audit and monitoring procedures, it is also important to recognize hot spots unique to your institution identified during previous examinations, audits, and consumer complaints. Join us for a look at the top 10 hot spots and learn steps to identify them before they become an issue for your institution.