Compliance Audits

You’ve analyzed the risks, written the policies, and developed the procedures 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 — 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.

Instructor Bio
Dawn Kincaid began her banking career while attending The Ohio State University. She has 19 years’ experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Kincaid 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 implementation of new products and services. Kincaid 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.

Registration Options

Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts $279

  • Available Upgrades:
    • 12 Months OnDemand Playback + $110
    • 12 Months OnDemand Playback + CD + $140
    • Additional Live Access + $75 per person


Nov 15 2022


10:00 am - 12:00 pm



More Info