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Course Details

Preparing for a Compliance and CRA Exam

Webinar: ID# 1000856
Date: Recorded
About This Course:
Has your compliance program been updated with all the regulatory changes from 2011-2012?  A compliance examination is the "report card" that banking regulators use to "pass or fail" a bank's compliance and Fair Lending program. Will your bank pass the test?

This fast-paced seminar provides practical guidance to develop and maintain a risk-based compliance management program.  Whether your bank is a small community bank or a large regional institution, this seminar will review the components of an effective compliance management system including Board and management oversight, audit and monitoring functions, organizational structure, corrective action, training, and recommended policies and procedures. 

Participants will then be guided through the entire exam process beginning with elements of the initial request letter, moving to suggestions for managing the exam process, and concluding with preparation for the exit meeting and explanations of the compliance rating system.  

This webinar will provide tools and guidance to help you successfully manage the exam.

Covered Topics:

  • What are the latest compliance exam procedures and "hot spots"?
  • What can you learn from recent enforcement actions?
  • How do you develop a risk-based compliance management program?
  • What does the Board need to know and what is appropriate Board oversight?
  • How do you write effective policies and procedures?
  • What type of corrective action is required when you find a compliance deficiency?
  • What are practical tips to prepare for and manage the compliance exam process?  
  • What are the most recent fair lending "hot topics"?   How do you manage a CRA exam?
  • How do you prepare for a fair lending exam under the revised interagency fair lending exam procedures?

Who Should Attend

The program is designed for both experienced and new Compliance Officers, Auditors, Risk Managers, and Senior Management.  Requirements for small and large banks are covered with a particular emphasis for FDIC supervised institutions.

The Presenter

Susan Costonis is a compliance consultant and trainer. She also has an affiliation with gettechnical inc. as an associate trainer. Her 34 year career in banking and training began with 20 years at First National Bank an affiliate Wells Fargo Bank, in Fort Collins, CO. Susan has been a bank compliance consultant or compliance officer in Louisiana since 1998. During her career, Susan has successfully managed compliance programs and exams for institutions supervised by the OCC, FDIC, and Federal Reserve. Susan regularly presents training to several state banking associations and specializes in compliance management, lending, and Fair Lending issues. She is a Certified Regulatory Compliance Manager and completed the ABA Graduate Compliance School. Susan also graduated from the University of Akron with a B.S in Art Education and the Graduate Banking School of the University of Colorado.

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Preparing for a Compliance and CRA Exam
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