Compliance Monitoring Program for National Banks

Also available for State Member Banks and State Non-Member Banks

Author: Jerry Miller, Regulatory Compliance Associates, Inc.
Format: 3-Ring Binders/2 Volumes with CD
Frequency of Update:2 updates annually
Price: $499
Plus shipping and handling.
Sales Tax: for NY, TX, DC, CT orders only.

About Your Subscription

You can review this product for 30 days. Your annual subscription includes published updates at no additional charge for the 12 month subscription period. At least 2 updates are expected. If you cancel your subscription within 30 days of receipt, you will receive a full credit upon return of the product together with a request for cancellation.

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Get Everything You Need to Monitor Compliance Throughout Your Bank - Tailored to the OCC's Requirements!

OCC examiners are paying more attention to the quality and scope of compliance monitoring. You need to have the right tools to satisfy the OCC’s expectations for ongoing compliance monitoring, prepare for your next compliance exam, and satisfy the latest risk management requirements on compliance more efficiently and safely.

Whether it’s your job to audit each department or division for compliance performance, or provide the paperwork for them to monitor themselves on an ongoing basis, we make the process easier. So you can spend less time to ensure that problems are corrected, staff remain committed to compliance, and examiners see compliance being addressed and monitored throughout the bank on a regular basis. And you save time, money, and effort on a job you have to do regularly.

Gives you everything you need in one convenient resource so you don’t waste time developing checklists and worksheets for each department or division. Focused on national banks, so you don’t need to spend time narrowing broad-based instructions to your needs.
Tailored to meet the regulatory and examination requirements of the OCC.
Includes a complete internal compliance monitoring program broken down into reviews by law, regulation, and ruling.
Product/service guidelines refer you to all the regs and rulings that apply to lending products, deposit and nondeposit products, and to all the events that trigger specific regulations.
Sample work papers can be easily adapted to your needs, including a compliance monitoring schedule, risk sampling grids, a memo of request, and an internal review checklist.
Includes easily adapted example procedures, worksheets, and checklists for each regulation, law, or ruling.
Gives you monitoring procedures, worksheets, and checklists for all the lending products. Regulations and sections of regulations are grouped by the specific lending products they affect, and everything is organized into internal review programs for those products.
Looseleaf format makes it easy to pull the paperwork you need to monitor each department, or hand the right set of compliance workpapers to each department head so they can monitor their own compliance performance.
Periodic updates ensure that your bank is always monitoring compliance based on the latest rules, regulations, and examiner expectations.
CD makes it easy to customize workpapers for your institution.

Call 1-800-456-2340 or click above to order this essential work tool.