Successful Compliance Auditing & Monitoring
Is your compliance auditing and monitoring process successful? How do you know? This informative session will provide guidance on how to apply a risk-based approach to identify compliance weaknesses. It will be a great webinar for those new to the compliance auditing arena or for more seasoned staff wanting to finetune their auditing and monitoring. Don’t miss out on the useful take-away tools.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
- Create a risk-based compliance review schedule
- Explain the difference between auditing and monitoring
- Develop testing based on agency-identified weaknesses
- Use agency-issued reports to stay abreast of hot topics
- Communicate testing activities effectively
WEBINAR DETAILS
A critical component of a successful compliance management system is identifying consumer compliance risks arising from an institution’s products and services. This webinar will slice and dice this into manageable components, including the basic anatomy of a risk assessment, developing the audit schedule, and how to document your efforts into a comprehensive report. You’ll garner tools for developing testing to ensure that agency-identified weaknesses and regulatory changes are incorporated into the auditing and monitoring activities and get tips for staying abreast of internal changes to your institution’s products and services. Join us to ensure that your compliance auditing and monitoring program is effectively identifying consumer compliance issues.
WHO SHOULD ATTEND?
This informative session is designed for compliance officers, risk officers, and auditors. It will benefit both new and seasoned staff.
