What You'll Learn
The FFIEC Examination Manual is a critical resource for financial institutions to understand regulatory expectations and maintain compliance with federal laws and guidelines. This session will provide a comprehensive overview of the manual, highlight key risk areas, and offer practical strategies for successfully navigating the examination process. Participants will gain valuable insights into examiner expectations and how to strengthen internal controls to reduce regulatory risk.
Topics covered in this session
Overview of the FFIEC Examination Manual
- Purpose and structure of the manual
- Key areas of focus for examiners
- Regulatory agencies involved in the FFIEC framework
Compliance Expectations & Risk Management
- Risk-based approach to compliance and internal controls
- Identifying high-risk areas during examinations
- Preparing documentation and audit trails
Examination Process & Best Practices
- What to expect during an FFIEC examination
- Common findings and how to address deficiencies
- Ongoing monitoring and continuous compliance strategies
Who Should Attend:
- Compliance Officers
- Risk Management Professionals
- Internal Auditors
- Operations Management
- Legal and Regulatory Teams
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