1. 2019 Compliance Risk Management – with Risk Assessment Tool

2019 Compliance Risk Management – with Risk Assessment Tool

2019 Compliance Risk Management – with Risk Assessment Tool
Event ID: 67456

Duration: 90 minutes including question and answer session.
Presenter(s): Ken Agle, president, AdvisX
Price: $299.00, DL includes full audio presentation, question and answer session, and presentation slides.
Credits: Live webinar approved for 1.5 NASBA credit hours (Management Services).
Who Should Attend? Compliance officers, internal auditors, risk managers, lending officers, in-house counsel

Experiencing 2018 for most of us involved in regulatory compliance has been interesting. Yes, many elements of regulatory compliance experienced a shift that was often “easing” of regulatory burden. Yet, to suggest that 2018 did not have impact for the future would be short sighted.

For example, 2019 will see the major impact of HMDA changes that were sown several years ago. While efforts to mitigate the impact on smaller reporting organizations are noted, the sweeping power of information cannot be ignored. That information along may be the catalyst that introduces a new wave of regulatory focus. Other areas such as BSA/AML, Flood Insurance, UDAAP and Mortgage Compliance, already carrying meaningful requirements, are only one event away from ever-expanding regulatory pressure.

With the perspective that resources are finite, organizations would be well-served to maximize those resources in ways that promote risk reduction. Such effort has as a basis the need to understand regulatory risk in general and then, in particular, how that risk impacts your organization. As your financial institution prepares for examinations, you must determine how to distribute your finite resources across your anticipated risks. That’s where a Compliance Risk Assessment comes in. Using a Compliance Risk Assessment Tool will help you establish what constitutes as a compliance risk, how you can measure and quantify it, and how to level an appropriate response—all tailored to your institution. Such analysis is central to showing that you understand and are prepared for the risk factors integral to compliance.

In this webinar we’ll walk through the myriad of compliance risk addressed in 2018, and how we can anticipate those trends to adapt in 2019 and beyond. We will also walk attendees through the process of using the developed Compliance Risk Assessment Tool. Join our expert, Ken Agle, as he shows you what your institution should do right now, based on what happened this last year, to anticipate and face future risk in the year to come and to develop a risk assessment that presents those factors and risk mitigation efforts.


Some of the topics that will be covered include:

  • How to prepare for the potential tide of HMDA and fair lending even if you aren’t a HMDA reporting institution
  • How other key areas of compliance trending and may be expected to trend
    • BSA
    • Mortgage compliance
    • UDAAP
    • Privacy issues
    • Flood insurance
    • Others
  • How to conduct a compliance risk assessment tailored to your institution
  • How to most effectively distribute your institutions finite resources across your risks

Every attendee will receive our Compliance Risk Assessment Tool


Your conference leader for "2019 Compliance Risk Management – with Risk Assessment Tool" is Kenneth Agle. Mr. Agle is president of AdvisX and brings over 30 years of financial institution experience covering numerous facets of financial institution operations. Mr. Agle specializes in strategic regulatory response and in developing and implementing both proactive and reactive tools and systems to preempt and resolve issues affecting today’s financial institution. Prior to his consulting experience, Mr. Agle had been a financial institution examiner with the FDIC. As a commissioned examiner, Mr. Agle was principally involved in numerous examinations, including safety and soundness, compliance, BSA, IT and trust.


BankersWEB, a division of DKG Media, LP, wants you to be satisfied with your webinar. If this webinar does not meet your expectations, email us at [email protected].


BankersWEB certificates of participation are available to everyone completing this webinar.