Compliance Management Risk Assessment


Presented by: Patricia Cashman

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Risk assessment…Can you go a week, or even a day, without hearing that phrase? As the compliance officer, you are required to have a risk assessment for AML, Remote Deposit Capture, ACH processing, OFAC, Identity Theft Red Flags, CIP … the list goes on ad nauseam. Now, add to the list attempting to navigate the new CFPB regulations. Which ones apply to your financial institution and which ones can you safely ignore? With all of this, perhaps you should do a risk assessment before deciding whether or not to go to work today!

This session is designed to assist you in development of a customized risk assessment for use in your financial institution's compliance program. We will cover the following steps:
  • IDENTIFY - Where to locate those areas you should be measuring.
  • CONTROL - How to reduce the identified and associated risks.
  • MEASURE - How much is "high"? What can be categorized as "low"?
  • PRIORITIZE - Which and what level of resources (time, personnel, assets, training, etc.) should be devoted to which risks.
  • MONITOR - Keeping an eye out for changes and/or problems
Who Should Attend:
IT Officers, Information Security Officers, Risk Officers, Audit, and Compliance Officers.

About the Speaker: Patricia Cashman iPatricia is a partner in Cashman Compliance Solutions, LLC. She is responsible for consumer compliance reviews, Bank Secrecy Act (BSA) and Anti-Money Laundering reviews, and compliance and BSA training.

Patricia 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, Patricia has spoken as a webcast/teleconference presenter for the American Bankers Association (ABA), BankersOnline (BOL) and the Center for Financial Training (CFT), taught a variety of compliance subjects for the Texas Bankers Association (TBA) and ABA at their respective Compliance Schools. She also serves as a BOL GURU and been a speaker/trainer for numerous banks and compliance organizations.

This program was recorded in its entirety in May 2015. The CD-ROM includes program slides, materials (if available) and follow-up Q & A document.

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  • Model: cd_risk0515
  • Manufactured by: Glia Group, Inc.

This product was added to our catalog on Tuesday 21 April, 2015.

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