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Compliance Risk Management: Regulator Expectations

Compliance Risk Management: Regulator Expectations 

Wednesday, September 28th | 2 p.m. EST

 

Today's ever-changing regulatory environment dictates an effective and efficient compliance management system (CMS) to mitigate a financial institution's compliance risk. Compliance risk assessment and management are critical parts of an effective CMS. It allows an institution to determine the impact of a regulation and, in turn, identify and decide their appetite for risk.

 

In this webinar, former NCUA Chairman, Dennis Dollar, and Temenos' Chief Compliance Officer, Leah Hamilton, will share with you recent trends in regulator expectations for compliance risk management. This dynamic duo will cover key topics such as:

  • The importance of building a CMS that incorporates a thorough and robust risk assessment on an institution's products, services and operations as well as the regulatory impact of such
  • The critical factors and considerations in developing a compliance risk assessment as well as keys to successful ongoing risk management
  • The steps in mitigating risks when building a thorough compliance management program, including managing third party risk
  • The key components of what regulators expect for risk due diligence

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