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The A to Z of
Compliance Auditing
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Materials
(only available to registered users) |
Developing, maintaining and redesigning your compliance audit program in a changing environment is vital today. You must react to new and changing regulations as well as new, innovative and changing products and delivery mechanisms. This webinar is designed to give you information that will help the new compliance professional as well as a seasoned one. We'll lay down preliminary steps to take, the actual auditing and the important follow-up steps to prevent recurrence. If you can't stop it from happening again, you haven't completed your work.
Our discussion will include:
- Resources for free audit workpapers
- How to know what the "hot" topics are in the world of violations
- How to select a file sample that is numerically accurate and validates your work
- How to get the most out of an audit of your compliance management program
- Practical tools to assist you in your daily duties
- Who and when to follow-up with and report to
About the speaker:
Andy Zavoina
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.
He is a graduate of the ABA National Commercial Lending School, National Compliance and National Graduate Compliance School and is a Certified Regulatory Compliance Manager with the Institute of Certified Bankers. He has written numerous articles and lectured on compliance, the use of the Internet and technology as a tool, as well as compliance in cyberspace to local, state and national associations. Internet policies and other compliance related programs are made available on his personal Web site.
Patricia Cashman
Patricia Cashman, CRCM, owner of Cashman Compliance Solutions, began her banking career in 1969. She has been the senior operations officer for three Dallas-Ft. Worth area community banks, an assistant examiner for the Texas Department of Banking and managed the compliance/internal audit division of TIB – The Independent BankersBank, one of the largest bankers’ banks in the country.
Additionally, she has spoken as a webcast/teleconference presenter for ABA, taught a variety of compliance subjects for the Texas Bankers Association (TBA) at their Annual Compliance School, provides compliance seminars for the Center for Financial training (CFT, formerly AIB) and been a speaker/trainer for numerous banks, banking and compliance organizations throughout Texas and New Mexico.
About the seminar:
This seminar will be delivered utilizing state-of-the-art technology. From the comfort of your office or conference room, you will receive the audio portion of the seminar via telephone, with companion slides and Web pages, polls and Q&A being delivered simultaneously over the Web. One AUDIO line per location can be placed on speaker phone to allow multiple participants.
Handouts will be provided and we welcome questions during and after the seminar, as well as in advance. Questions received after the seminar will be posted on a special Web page for later viewing by seminar attendees.
Contact Information: Billing questions can be directed to Carin Eisenhauer, carin@bankersonline.com. All other questions may be directed to mpetry@bankersonline.com
TEST YOUR SYSTEM: Click below to test receiving the presentation using Windows Media Player.
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