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Community Bank Internal Auditors Workshop - Part 2

Community Bank Internal Auditors (IAs) function as the backbone for safety and soundness in the bank. Often the internal auditor is thrown into the position based on competency in another area of the bank. Here is the opportunity to make it all make sense!
Upcoming
DATE

Wednesday, July 29, 2026
2:30 pm - 5:00 pm

INSTRUCTOR

Lauren Sparks

FORMAT

Workshop

CREDIT TYPE

3 CRCM Credits

$450.00 or 4 Tokens

Includes: Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Auditing
  • Compliance
  • Deposit
  • General Compliance
  • Lending
  • Management/Employee Development
  • Reporting
  • Risk Management/Legal
  • Bank Legal Counsel
  • Compliance Officer
  • Controller/Accountant
  • Deposit Operations Manager/Specialist
  • Internal Auditor
  • Loan Operations Manager/Specialist
  • Risk Manager
  • Senior Management
  • Training Manager
  • Trainer

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Our 2-part series is designed to provide a comprehensive introduction to the responsibilities and day-to-day practices of an effective community bank Internal Auditor.

  • Part 1 begins by establishing the Role, Responsibilities and Career Path of the Community Bank Internal Auditor.
  • Part 2 is about execution and picks up to refine the requirements into building blocks for creating a successful community bank Internal Audit Program.

The second session in this series builds on the foundational concepts introduced in Part 1 and moves into the practical execution of internal audits within a community bank.

Participants will explore the key operational areas typically included in a community bank internal audit program and the basic internal controls that help ensure safe, sound, and compliant banking operations. Discussion will include how to evaluate whether controls in these areas are properly designed and operating effectively and an understanding of day-to-day practices of an effective community bank internal auditor.

What You'll Learn

  • Common Audit Areas (deposits, lending, etc.)
  • Testing Strategies
  • The types of risks auditors look for in each area and how those risks can impact the bank’s financial performance, regulatory compliance, and operational stability
  • Documenting, Reporting and Tracking Findings
  • Common community bank internal audit findings
  • Audit Scenarios
  • Workshop Session: Cameras and microphones on! We will break into groups for Q & A review and ideas/tips/to
  • A materials reference manual

Who Should Attend

This workshop will be a starting point for community bank internal audit newbies, and a foundational class for those intrigued by the role or fairly new in the role. It is a need for those with hands-on responsibilities for internal controls in the bank to obtain an understanding of the critical elements of a robust internal control environment required in all banks. This can include aspiring internal auditors, Compliance Officers, risk managers, or anyone that must manage an operational function in a community bank.
Lauren Sparks

Instructor Bio

With a career spanning 40+-years as a community banker and banking regulatory risk management consultant, Lauren Sparks is an accomplished advocate for community banks and women’s financial services leadership. In her career Ms. Sparks held positions in community banks that ranged from teller to Investment Officer, Loan Officer, and Cashier. She founded a women-owned, women-led denovo community bank and served as CEO and Chairman of the Board. In risk management consulting, Ms. Sparks moved to bank consulting firms at a local level, and then to a national level where as a Director she specialized in troubled banks and fintech. In 2009, Ms. Sparks formed 3PR, Inc., a woman-owned consulting firm specializing in community banks and financial service firms where she serves as CEO. 3PR serves more than 50 community banks at any given time and has been a preferred vendor for one of the world’s largest software providers.

She has edited the Reference Guide for Regulatory Compliance Manual (RGRC) for the American Bankers’ Association (ABA). Ms. Sparks is a founder of the Houston chapter of the Association of Certified Anti-Money Laundering Specialists (ACAMS) and is a Certified Anti-Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), and has been an Accredited ACH Professional (AAP).

Continuing Education Credit Information

Community Bank Internal Auditors Workshop - Part 2 has been approved for 3 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for both Live and OnDemand viewing. For questions on certificates, please email support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.

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