Risk-Based Compliance Audit Program: Risk Assessment Checklists and Related Requirements
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Product Description
This step-by-step program is designed for compliance officers, internal audit officers, and department personnel who monitor compliance within their own departments. Separate checklists for each line of business in your financial institution are included. Detailed instructions discuss alternatives and their appropriate use in the financial institution.
This manual has an accompanying CD that contains all of the chapters and additional references, forms, regulations, and checklists in a searchable format. The CD links citations in the text to the actual regulation, so you can easily reference the specific requirements affecting your compliance audit program.
About Jeffrey Torp
Jeffrey Torp is a consultant in the area of regulatory risk for financial institutions. He specializes in the financial institution industry and has more than 25 years of experience serving financial institution clients in matters relating to bank regulation. Mr. Torp is an attorney and has previously served as a consultant with KPMG and with McGladrey & Pullen, LLP, and as legal counsel to the Independent Bankers of Minnesota. He received his law degree from William Mitchell College of Law in St. Paul, Minnesota, and his Bachelor of Arts Degree from Augsburg College in Minneapolis, Minnesota. Mr. Torp has worked with financial institutions throughout the country on regulatory issues and given numerous presentations on regulatory topics to groups of bankers, bank examiners, trade associations, and attorneys. He has also served as an instructor for the Independent Bankers Association of America’s compliance school and certification program, and authored several publications.
Highlights of our Latest Update How to Use This Manual Table of Contents Look Inside This Book!*
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