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.
Spinnaker News 1 minute read
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.
Critical Initiative Delivery, Business Analytics & Data Management, Regulatory Compliance & Risk Management 4 minute read
The Big Picture Aggressive growth is a great business goal, but to achieve it the smart way, organizations need to have their houses in order first. One Top 25 bank was recently moving forward with a growth plan when it was stopped in its tracks by a consent order. Rather than gearing up for expansion, the company found itself needing to implement and maintain an effective Compliance Management Program (CMP) to meet consumer protection regulations – and the team charged with the effort had limited bandwidth and expertise.
Regulatory Compliance & Risk Management, Compliance 1 minute read
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