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Auditing Reg CC
(Presented by John Burnett and Andy Zavoina)
We can all agree that Reg. CC is complicated. Any time the definitions have to go all the way to "fff" there is "reg rot" in there somewhere. But like it or not, we have to comply with it. It is a commonly violated regulation and this is often due to the confusion brought on by the complexity of the requirements. | | WEBINAR TIME:
11:30AM-1:30PM PT
12:30-2:30PM MT
1:30-3:30PM CT
2:30-4:30PM ET |
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A sound audit can tell you first where you stand. From there you can see what the problems are and where they came from. Are they specific to a section of the regulation, to a section of your policy and procedures or are they geographic and confined to limited branches?
The first step toward a clean compliance audit is identifying the problems. This identifies the weaknesses and leads you to a final solution whether it be in training, documentation, procedures or any mixture of these. But it is the next audit that leads to this. Prepare for the next audit, now!
Join Jim Bedsole as he takes you step by step through the Reg CC audit process. He will give you a Reg CC audit program and workpapers that allow you to evaluate:
The risk assessment and control design process
Management and board oversight of compliance
Ongoing monitoring efforts and their effectiveness
Employee training and awareness
In addition he'll cover numerous case studies of common Reg CC violations to analyze how your program should respond to these concerns.
This session is designed for compliance officers, auditors and practitioners who have an understanding of the Reg. CC basics.
PRESENTERS
Mr. Andy Zavoina, CRCM, is a consultant with the Glia Group, best known for its involvement with BankersOnline.com.
Andy has been in finance and banking for 22 years. Over 20 years were with a holding company with two Central Texas community banks that had $534 million in assets, 89 branches spanning Texas and nearly 500 ATMs. After starting in loan workouts, Mr. Zavoina has been a consumer, commercial and real estate lender and managed those departments as well as being the banks first Webmaster. He was responsible for compliance- management, -auditing, and -training for both banks.
Andy is a past Chairman of the American Bankers Association's Compliance Executive Committee. He was the 2003 recipient of the American Bankers Association's Distinguished Service Award for his involvement and accomplishments in the field of regulatory compliance management. He currently serves on the Editorial Advisory Board for the ABA's Compliance Magazine, Compliance Action magazine, is a member of the ABA's Compliance School Board and is a BankersOnline Guru. He also served on the Texas Bankers Association's Compliance Committee.
John Burnett John Burnett is a 1979 alumnus of the ABA National Compliance School, and served on its faculty for several years. He graduated with honors with the Class of 1990 from ABA's Stonier Graduate School of Banking, and is also a graduate of the BAI and the Massachusetts Banker Association Schools of Banking.
John began his banking career in high school when he started as a teller at a $15 million bank that didn't have account numbers for its checking accounts (he says they actually filed by signature!) He joined Cape Cod Bank and Trust Company in 1971 and assumed the position of Compliance Officer in 1976. He also served as corporate secretary and secretary of CCBT's Board of Directors, as well as Clerk of the bank's holding company.
John joined Glia Group, Inc., and became a part of the BankersOnline.com team in June, 2004.
More information...
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888-229-8872