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  • Compliance Management for First-Line Operations
  • Compliance Management for First-Line Operations

    Past Speaking Engagements July 29, 2021 By Tracey Levandoski
    Tracey Levandoski
    Managing Director

    On August 25th, Jocali Nakao, CRCM and CAMS, and Tracey Levandoski, CRCM, presented a webinar for the American Bankers Association (ABA). The topic of the webinar was Compliance Management for First-Line Operations.

    Called the first line of defense, the bank’s frontline and back-office operations together own compliance risk for the products it sells and services. The first line should maintain an effective system to identify, assess, and mitigate the bank’s compliance risk while making sure customers receive fair and responsible products and services. Attendees learned best practices for integrating the first line into an institution’s overall compliance framework and gained a deeper understanding of how to: document controls, assess risk, develop monitoring templates, and track issues through resolution within the first line. CERP, CRCM and CPE credits are available. Registration continues to be available to the recorded webinar on the ABA’s website.

    More Information
    Category: Regulatory Compliance

    Announcements

    • CrossCheck Compliance LLC Added to DBRS Morningstar List
    • ABA Reference Guide to Regulatory Compliance
    • CrossCheck Compliance LLC Announces New Partners
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    • ABA Bank Compliance – Watch Out: TRID Errors
    • ABA Bank Compliance Magazine – How to Conduct An Internal Compliance Investigation
    • Highly Successful Compliance Officers – Going Beyond the Regulations
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    Company Profile

    • California Mortgage Bankers Association (CMBA) Member Profile – The Big 3
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    Speaker Engagements

    • Effective Internal Audit Function – Beyond the Basics
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    White Papers

    • Why Mortgage Companies Should Embrace Internal Audit
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