Compliance Audit Series: Creating an Effective Compliance Management Program
Develop an independent, adequately resourced, compliance management program that identifies, measures, monitors, mitigates and controls consumer compliance risk.

In the current regulatory environment, regardless of asset size or product offering, all banks have increased responsibilities in managing risk attributed to practices around lending, deposits and operational regulatory requirements.

Developing an effective Compliance Management Program is the key to your success in successfully managing these risks and satisfying regulatory requirements. 


  • Board oversight and direction
  • Senior management’s participation direction to:
    • Establish, communicate and enforce policy
    • Ensure a permanent and effective compliance function is in place
  • Establishment of an independent, adequately resourced, clearly defined compliance function that includes:
    • Assignment of accountabilities between compliance and staff
    • Advising management of changes in regulations
    • Providing guidance in education
    • Corrective action
    • Identification and measured of compliance risk
    • Monitoring, testing, and reporting
    • A written, risk-based compliance plan/program
  • Periodic independent, risk-based reviews of the compliance management function.


Bank professionals seeking knowledge of effective compliance monitoring programs, including compliance officers, auditors, risk managers, lenders, deposit/operations personnel and management.


Naill K. Twomey, CRCM, senior manager in the regulatory compliance risk group with Crowe Horwath LLP, has 19 years combined financial institution and compliance consulting experience and has managed and conducted numerous compliance audit and risk assessment initiatives for community-based financial institutions. Niall leads the firms Fair Lending initiatives.

Shawn Krishner, CRCM, PMP, senior manager in the regulatory compliance risk group with Crowe Horwath LLP, has over 22 years of compliance and systems implementation experience. Shawn spends much of his time assisting clients with processed and controls improvements and risk assessment execution.

Credit Information

Institute of Certified Bankers: Visit http://www.icbmembers.org/login.aspx for instructions regarding self-reporting. Estimated credits: 2 hours/session


Live Webinar:

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