Enhancing Visibility into the Regulatory Examination Process with Technology

Date: Wednesday, June 12, 2019 | Time: 8 am PDT | 11 am EDT

Panelists

Cynthia_Behnen_Gillison_PwC

Cynthia Behnen–Gillison
Director
PwC

Alex_Pflepsen

Alex Pflepsen
Director
PwC

Shua

Shua Saaqib
Senior Manager
MetricStream

cpe_nasba

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Field of Study:
Management Advisory Services: 1 CPE Credit
Program Delivery Method: Online
Program Level: Intermediate
Advance Preparation/Program Prerequisites: None

One component of the regulatory compliance department's responsibilities is to manage and coordinate regulatory examinations. Some of the large banks juggle over 100 regulatory examinations at any given time across multiple functional areas and this challenge is not only faced by large banks but also regional banks. This coupled with the expanding scope of the examinations, as well as a fast changing regulatory and legal landscape, necessitates an effective way to manage the regulatory examination process.

For more insights, join this webinar where subject matter specialists will discuss the following:

  • Coordination with the business stakeholders proactively in preparation for regulatory examinations
  • Managing the regulatory exam process
  • Providing oversight and reporting
  • Leveraging technology to manage regulatory exams

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