Regulatory Compliance & Risk Management
1 minute read
Aug 5, 2016
Written by: Shawn Sweeney
An upcoming regulatory exam can strike fear into the heart of even the most confident and experienced business leader. And while there’s no trick that will make all of that anxiety go way, knowing what to expect when the examiners arrive on site can go a long way to alleviating your concerns. Here are a few steps you can take to better set you and your team up for a successful exam:
Of course exam prep is best when it actually happens in advance of the receiving the Information Request from the exam team. Put exam dates on your calendar, and then schedule appropriate milestones to prepare.
Meet a valued member of our Spinnaker team of experts: Consultant Belinda Allen. Spinnaker’s Regulatory Leader, Belinda has spent more than 20 years at the helm of successful programs and projects for Fortune 100 financial services companies. As a Risk Compliance Consultant on the Spinnaker team, she leverages her positive, take-charge attitude, robust initiative, and expansive knowledge to roll up her sleeves to solve complex problems for clients every day.
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With our Spinnaker Sit-Down interview, we give you VIP access to industry influencers, thought leaders, and movers-and-shakers who share their unique insights and perspectives on industry issues, trends, and questions. This month we sat down with Maquette Advisors Managing Partner Bob Birmingham III, a seasoned consumer compliance professional, to talk about changing the narrative about regulatory compliance, what you need to know today, and what’s on the horizon as we fast-forward 10 years.
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Late last month, I had the pleasure of attending and facilitating a couple of on-demand panels for the American Banking Association’s (ABA’s) first-ever Risk and Compliance Virtual Conference.
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