This Baker Tilly webinar provides you with insights and recommendations to consider when creating and maintaining an effective compliance management program.
Many traditional financial institutions, while used to regulation, are struggling to create effective compliance management programs within existing internal audit and risk processes. Nontraditional entities, such as student loan companies or nonbank mortgage loan servicers, were not historically subject to a regulator such as the CFPB. Most are unsure of how the new rules and regulations apply to them, or where to begin in order to comply.
- The changing regulatory environment
- Board and audit committee compliance management responsibilities
- Key elements of an effective compliance management program
- Internal audit strategies