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Examiners focus heavily on an institution’s internal compliance risk assessment, which is why your institution must use a risk-based approach to addressing compliance issues. Most of the risk you manage relates to laws and regulations but you have to also think about risk from market forces or customer behavior.

Key sources of compliance risk for financial institutions are staff turnover, product complexity, rapid growth of the bank or a bank product, economic forces in the bank's market, and technology. All of these risk sources affect compliance, and are sources of risk for your institution.

Join Risk-Focused Compliance: Staying out of Hot Water with the Regulators, a practical audio conference that will give you best practices and effective tools to help you address the high-risk compliance issues in your institution.

Our expert speakers will provide guidance to help you:

• Understand risk-based compliance so that you focus on the highest-risk issues for your institution
• Obtain valuable tools for measuring and mitigating compliance risk, including a risk assessment template that can be customized for your institution
• Identify the elements of an effective Compliance Risk Assessment based on your bank’s geographies, products and strategic objectives
• Recruit and train qualified compliance staff
• Understand how regulators view current compliance issues in order to be better prepared for your next examination
• And much more!

Plus, all attendees get take-aways to customize and use—including a Compliance Risk Assessment template and a Top Ten list of common violations identified by examiners

Registration Includes:

• Admittance to the 90-minute call for as many people as you can fit in a room with a speakerphone
• Access to the specially created presentation handouts (made available 48 hours in advance) which can be printed and used
• Participation in a 30-minute live Q&A with the speaker following the presentation
• Certificates of completion for all audio conference attendees

Who Should Attend:

• Compliance Officers
• Risk Officers
• Compliance Auditors
• Senior and Executive Management
• Directors
• Everyone involved with compliance and risk management for your institution

About the Speakers:

Joy Braasch is a 25-year veteran of banking in Alabama, beginning her career in 1982 at SouthTrust Bank in Birmingham as project manager. In 2002, Ms. Braasch was actively recruited by Compass Bank to strengthen the bank’s consumer compliance program. Under her management, Compass developed a top-notch BSA/AML program, addressed sensitive fair lending issues, and successfully implemented a strong enterprise-wide compliance risk management program. Ms. Braasch has experience with compliance and CRA examinations conducted by OCC, Federal Reserve Bank, and Alabama State Banking Department.

Gale Blackstock was named Corporate CRA Officer for Regions Financial Corporation in 1999, where she managed the collection and analysis of CRA and HMDA data and ensuring data submission to the federal government was timely and accurate. She also played a key role in two Regions mergers (Union Planters and AmSouth), working with attorneys and regulators during the public comment period to mitigate community group protests.

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