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Audits & Compliance Reviews: Best Practices for Financial Institutions

Original Air Date:

Thursday, August 24th at 1 PM CST



Rafael DeLeon

SVP of Industry Engagement


Jill Ashby, CRCM

Policy Expert

David Gonzalez

Audit Expert

Audits and compliance reviews serve as the Third Line of Defense for your financial institution. What should that look like? Join our panel of audit and compliance experts for a deep dive into effective audit management and compliance reviews.

Topics include:

  • Audits vs. compliance reviews
  • Risk-based audit & review planning
  • Understanding 3rd line of defense challenges
  • Responding to findings

Whether you’re new to audit and compliance reviews or a seasoned pro, join us for this webinar and come away with best practices and top tips to enhance your FI’s audit and compliance review programs.