Few issues produce more angst for compliance professionals than an upcoming regulatory exam. From the discomfort of the intense scrutiny, to anxiety over what an examiner’s priorities will be, or concerns about a potential negative outcome, exams have been known to cause more than bit of unease. But as the saying goes, well begun is half done — and exams actually begin with rigorous and thoughtful preparation. Join these expert panelists as they outline the most practical and productive ways to prepare for exams, to achieve optimal results once they’re fully done.
Reviewing recent updates to the FFIEC manual to understand implications in areas such as regulatory requirements vs. expectations and tailoring exams to a bank’s unique risk profile
Auditing controls in areas such as onboarding and beneficial ownership determination to affirm strengths of oversight and detect and self-disclose systemic gaps in risk management
Preparing internal stakeholders such as senior managers and business line leaders to discuss issues such as training and SAR filing protocols to demonstrate rigorous culture of compliance
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