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Effectively Auditing for Compliance

In this session, we will discuss how to develop a Compliance Audit program that adequately addresses examiner expectations. We will highlight those areas of compliance with the highest risk, so you know where to focus your valuable time. In addition, we will provide examples and tools you can incorporate into your program.

OnDemand
Recorded Wednesday,
September 13th, 2023
Presented by Dawn Kincaid
2h total length
$279.00 or 1 Token

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Auditing
  • Compliance
  • Deposit Compliance
  • General Compliance
  • Lending Compliance
  • Risk Management/Legal
  • Transaction Compliance
  • Compliance Officer
  • Internal Auditor

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You've analyzed the risks, written the policies, developed the procedures and implemented controls for each area of consumer compliance. But...are they effective? Are they working? Are they being followed? Is our institution truly in compliance? Those are all questions you want to be answered before the next visit by your examiners.

Your institution's safety and soundness are contingent upon effectively identifying and managing your Compliance Risk exposures. Thus, your Compliance Audit program must be risk-based and focus on those areas of greatest risk. Each of your institutions is unique from the market you serve to the products you offer to the method you deliver them, therefore, no single compliance audit system works across the board. Each institution should develop its own program tailored to its needs and circumstances. Regardless of the compliance audit/risk management program's design, it should include mechanisms for identifying, measuring, controlling, and monitoring risks.

In this session, we will review examiner expectations for your Compliance Audit program. We will highlight those areas of compliance with the highest risk, so you know where to focus your valuable time. In addition, we will provide examples and tools you can incorporate into your program.

What You'll Learn

  • Compliance Audit Programs and 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 the tools and resources available to you

Who Should Attend

This jam-packed session is designed for Compliance Officers, Internal Auditors, Risk Managers and members of your Compliance Council.

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.

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