Conducting a Risk-Based Compliance Audit Seminar OnDemand with Live Streaming

Banking requires taking risks in order to earn profits. Risk levels, however, must be appropriately managed and controlled. A bank’s safety and soundness is contingent upon effectively identifying and managing its Compliance Risk exposures therefore, the bank’s Compliance Audit program must be risk-based.

Live Stream OnDemand
Recorded Thursday,
May 27th, 2021
Presented by Dawn Kincaid
7h total length
7 CRCM Credits
$1,049.00 or 4 Tokens

Includes: 12 months of OnDemand playback access

  • Auditing
  • Compliance
  • Risk Management/Legal
  • Branch Manager
  • Compliance Officer
  • Internal Auditor
  • Risk Manager
  • Senior Management

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What You'll Learn

  • Compliance Audit Programs – what the examiners are looking for
  • Volume and significance of compliance violations
  • Identifying high risk regulations and developing a compliance review schedule
  • Review of compliance policies and procedures
  • Personnel – level of compliance knowledge
  • Compliance control systems
  • Effectively report compliance matters to the board
  • Understand tools and resources available to you

Who Should Attend

This informative session is designed for auditors, compliance officers and compliance council/committee members. Risk Managers, Managers and Assistant Managers will also benefit from the information that will be presented.

Dawn Kincaid

Instructor Bio

Dawn Kincaid began her banking career while attending The Ohio State University. She has 19 years of experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Dawn served as the Senior Vice President of Operations for a central-Ohio-based community bank, where she created and refined policies and procedures, conducted self-audits and risk assessments, and organized the implementation of new products and services. Dawn has served in the roles of Compliance, BSA/AML, CRA, Privacy, and Security Officer. She has led training initiatives, prepared due diligence information, completed a variety of regulatory applications, coordinated internal and external audits, and exams, and presented for numerous state associations.

Continuing Education Credit Information

Conducting a Risk-Based Compliance Audit Seminar OnDemand with Live Streaming has been approved for 7 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.