Navigating Regulatory Examinations and Dealing with Examiners

Dealing with regulatory exams, from safety and soundness and AML/BSA to consumer protection, mortgage, fair lending, CRA, and more, can be a daunting and intimidating experience. But it need not be – there are a number of key ideas and processes that can be used 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.

Recorded Friday,
February 9th, 2024
Presented by Carl Pry
2h total length
2.5 CRCM Credits
$299.00 or 1 Token

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Compliance
  • Management/Employee Development
  • Risk Management/Legal
  • Bank Legal Counsel
  • Board Member
  • Branch Manager
  • Compliance Officer
  • Deposit Operations Manager/Specialist
  • Internal Auditor
  • Loan Operations Manager/Specialist
  • Risk Manager
  • Senior Management
  • Training Manager
  • Trainer

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In this webinar we’ll go through the examination process – what it is, how it works, and how your institution can best succeed. One of these keys sounds obvious, but it is surprising how frequently is ignored: BE PREPARED (the Boy Scout motto). We’ll detail what it means to be properly prepared, as well as how to deal with the exam (and examiners) process, and share 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 2024 – primary issues to address
  • Importance of examination procedures
  • Best practices for a successful exam
  • 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

Anyone who has a role in the regulatory examination process will benefit from the information in this webinar, including (but not limited to) compliance professionals, attorneys, auditors, managers, executive managers, and 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

Navigating Regulatory Examinations and Dealing with Examiners 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.