We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail firstname.lastname@example.org.
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:
Please fill mandatory fields
*Attendees must attend minimum 50 minutes of live session and respond to all the poll questions. This is a co-hosted webinar with a MetricStream Partner. Registering, will indicate your agreement to share registration details with the Partner
"Enhancing Visibility into the Regulatory Examination Process with Technology"; - This course is approved by NASBA (National Association of State Boards of Accountancy). The Live online webinar attendees* are eligible for 1 CPE credits upon completion of training.
Ms. Gillison is a Director in the PwC’s Financial Services Practice and leads the National Regional Banking GRC Tech. She is responsible for leading PwC professionals in delivering Risk Management and Compliance Solution (RMCS), and Governance Risk and Compliance (GRC) Technology, clients, leveraging her risk management, governance, compliance and operations experience. She assists clients with strategic efforts ranging from Governance, Risk and Compliance readiness efforts and GRC Technology Solution Implementations to redesign of Regulatory Compliance programs, including assisting with the development of the risk assessment process. In addition, she supports clients with addressing regulatory actions plans issued by the OCC, CFPB, FDIC and other regulators, by assisting with the development of corrective action plans, project plans and roadmaps, including assisting with tracking progress of these plans. She has assisted clients with develop information security and third party risk management policies and has led the end-to-end GRC technology implementation process for these areas.
Mr. Pflepsen has more than 15 years of risk- and regulatory-related consulting experience. Since joining PwC in 2004, he has focused on helping PwC’s largest financial services clients navigate risk and regulatory challenges that require significant organizational changes in order to drive expected results. These have included planning, designing and implementing risk management programs focused in the areas of operational risk management, technology risk management and compliance risk management. Through his role on these projects, he has developed a deep understanding of technical and practical aspects on how to drive a successful program and manage change in complex environments.
Ms. Saaqib has 10 years of experience in presales, business development and marketing roles in the information technology industry. At MetricStream, she primarily handles product marketing for Policy and Document Management, Case Management and the Compliance Management Solution. As part of the role, she is responsible for market analysis, product prioritization, driving the marketing strategy and planning, competitive analysis, demand generation and sales enablement.
Ms. Sharma leads the marketing efforts for Audit and Risk Management Solutions offerings within MetricStream. She has over 9 years of experience primarily in consulting and marketing and was associated with the tax consulting practice for one of the big 4 consulting firms and have been engaged with multiple Fortune 500 organizations in this capacity. She has a Bachelor of Commerce (Honors) from Delhi University.