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Dealing with Examiners in an Age of Constant Change: Keys and Tips to Success

Everything in the compliance world seems to be changing in 2025. No one really knows what will happen, but regulatory examinations are not going away anytime soon. In fact, there is an argument that the enforcement environment will be more difficult to predict with so many personnel and policy changes at the agencies.

Upcoming
Wednesday, June 25th, 2025
10:00 am - 12:00 pm
Presented by Carl Pry
2.5 CRCM Credits
$299.00 or 1 Token

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

  • Compliance
  • General Compliance
  • Management/Employee Development
  • Bank Legal Counsel
  • Board Member
  • Compliance Officer
  • Internal Auditor
  • Risk Manager
  • Senior Management
  • Training Manager
  • Trainer

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Dealing with regulatory exams – from safety and soundness and AML/BSA to consumer protection, mortgage, fair lending, CRA, and a host of others – can be a daunting and intimidating experience. But it need not be – there are a number of key ideas and processes that can be undertaken to ensure a favorable experience. All exams, from all examiners and all agencies, have many commonalities that lend themselves to understanding how the process works.

In this webinar, we’ll go through the examination process in general – what it is, how it works, and how your institution can best succeed. One of these keys sounds obvious, but it’s surprising how frequently it’s ignored: BE PREPARED (the Boy Scouts motto).

We’ll detail what it means to be properly prepared, as well as dealing with the exam (and examiners) process, and important post-exam takeaways. Come prepared with your questions, as this is a great opportunity to be as ready as you can possibly be for any impending regulatory examination.

What You'll Learn

  • Examiner focus in 2025 – primary issues to address
  • Importance of examination procedures
  • Best practices for a successful exam, whatever it is
  • Understanding the examination process
  • Pre-exam planning
  • The importance of communication
  • Be prepared – what does this mean?
  • Know your position and don’t be afraid to stand your ground
  • Addressing issues and problems – making commitments
  • Sharing examination results
  • Post-exam activities – audit, action plans, reviews
  • Compliance vs. Legal vs. Audit
  • Types of enforcement actions
  • If it’s not in writing, you didn’t do it!

Who Should Attend

This session is ideal for anyone in the institution who has any role to play in the regulatory examination process, including (but not limited to) compliance professionals, attorneys, auditors, managers, executive management, and even board members.


Carl Pry

Instructor Bio

Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Senior Advisor for Asurity Advisors in Washington, DC. Through his more than 30-year working career, as well as through his experience as a banking attorney and officer, he has provided a variety of regulatory compliance and financial performance services to financial institutions and other clients throughout the country. He has written extensively regarding consumer and commercial compliance, tax, audit, and financial institution legal issues, and is a frequent contributor to and currently serves as the Chair of the Editorial Advisory Board for the ABA Bank Compliance magazine. He has spoken at scores of banking, compliance, and state bar associations, and has conducted training sessions for financial institutions across the country.


Continuing Education Credit Information

Dealing with Examiners in an Age of Constant Change: Keys and Tips to Success has been approved for 2.5 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.