Compliance Audit Findings and Resolutions
Speaker: Lori Victory, Third Party Resources
This recording is from a 3 hour instructor led program held on September 3 via Zoom. Recordings are 3 MP4 links. Electronic materials will be sent as well.
This program will address common issues plaguing community banks. We will identify common pitfalls in a bank’s compliance program, loans, deposits and BSA compliance. In addition, we will provide some helpful hints and tools to assist in resolving the issues. Topics include the following:
- Compliance Management Structure
- Policy and Procedures
- Risk Assessments and Common Issues Noted
- Common Loan Compliance Issues - ECOA, FCRA, Flood, TRID, Reg. Z
- Common Deposit Compliance Issuse - Reg. E, Reg. D, UDAAP
- Common BSA Compliance Issues - SAR, MRB, Risk Assessments, Virtual Vaults, etc.