Compliance Officer Training: Risk Assessments, Monitoring & Testing

Sep 26, 2018 03:00pm -
Sep 26, 2018 04:30pm

Event Description

The FFIEC Consumer Compliance Rating System requires identification of risks related to financial institutions’ products, services, and activities.  This webinar will examine the basic anatomy of a risk assessment and review common risk assessments.  Once risks have been identified, you will get tips and tools for monitoring and testing to ensure consumer compliance risks are uncovered, documented, and communicated.  Participants will learn how to stay current with the ever-changing regulatory environment and your institution’s internal product and service changes.  This webinar will clarify any ambiguity associated with risk assessments and provide the tools you need to succeed. 


  • How compliance exam ratings are impacted by risk assessments, monitoring, and testing
  • Anatomy of a risk assessment
  • Overview of commonly used assessments
  • How to develop a risk-based compliance monitoring schedule and reporting process
  • Difference between monitoring and auditing

Take-Away Toolkit

  • Compliance risk assessment
  • Compliance review schedule
  • Monitoring report
  • Compliance review report
  • Resources for staying abreast of regulatory changes
  • Employee training log
  • Quiz you can administer to measure staff learning and a separate answer key

Attendance verification for CE credits provided upon request.

Who Should Attend?

This informative session will provide guidance on how to apply a risk-based compliance approach to identify compliance weaknesses.  It will benefit both new and seasoned compliance officers and risk managers.


Registration Options:

If you are having issues with registering online, please contact CBAO's Education & Training Coordinator, Lianne Simeone, (614) 610-1877.

Event Type:Webinar &/or On-Demand Link/CD
Early registration ends on Apr 30, 2018.
Regular registration starts on May 01, 2018 and ends on Feb 05, 2019.
Late registration starts on Feb 06, 2019.
(GMT-05:00) Eastern Time (US & Canada)


Registration Fees
Fee TypeEarlyRegularLate
 Live Webinar
Member Fee: $265.00$265.00$290.00
Non-Member Fee: $400.00$400.00$425.00
 Additional Hookups
Member Fee: $175.00$175.00$175.00
Non-Member Fee: $260.00$260.00$260.00
 Recorded Webinar + Free Digital Download
Member Fee: $345.00$345.00$345.00
Non-Member Fee: $490.00$490.00$490.00
 Both Live Webinar and Recorded Webinar + Free Digital Download
Member Fee: $395.00$395.00$420.00
Non-Member Fee: $600.00$600.00$625.00