Implementing Agency Identified Issues into Compliance Auditing Programs

$265 Thursday, April 15, 2021 10:00 AM Register

Join us as we analyze consumer compliance issues identified by the CFPB and other regulatory agencies. Not only will we discuss the issues in detail, but we have developed auditing and monitoring activities that you can utilize to ensure these areas are not issues at your institution!

Internal auditing and monitoring for consumer compliance are important components of your institution’s compliance management system. Don’t be caught off guard by a known regulatory compliance issue! Join us as we discuss regulatory agency identified compliance weaknesses and how to implement an effective testing program designed to proactively identify consumer compliance issues at your institution.

Covered Topics

  • Tips on Developing Auditing & Monitoring Schedules
  • Understanding the Components of the FFIEC Consumer Compliance Examination
  • The Benefits of a Proactive Compliance Program
  • Most Frequently Cited Regulatory Violations
  • CFPB: Supervisory Highlights
  • FDIC: Consumer Compliance Supervisory Highlights Overview
  • Federal Reserve System: Consumer Compliance Outlook
  • Examples of communications that result in UDAAP concerns
  • Utilizing CMP Reports as Auditing and Training Tools
  • Flood - Issues that lead to CMP’s!
  • Ready to use checklists for several of the areas discussed!

Who Should Attend?

This informative session is designed for operations managers, compliance officers, risk officers, and auditors but will cover issues identified on both the lending and deposit areas.


Molly Stull began her banking career on the teller line while working on her undergraduate degree and has continued working in the financial industry ever since. Some of her experience includes roles in operations, business resumption planning, consumer compliance, and conducting audits. Her favorite role is ensuring that her audience, whether on the sports field or in the financial industry, understands the "why" behind the rule. Her wealth of financial knowledge and her numerous years of experience enable her to relate the material to the audience.

Registration Options

  •  “Live” Web connection - $265
  •  6-month “OnDemand” website link only - $295
  •  CD-ROM and e-materials only - $345
  •  Live plus OnDemand website link - $365
  •  Premier Package:  Live, OnDemand link, and CD-ROM plus - $395

$265 Thursday, April 15, 2021 10:00 AM Register