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#39918 - 10/31/02 04:42 PM Compliance Calander
Anonymous
Unregistered

My new boss has asked me to put together a calander for the year of what I should be reviewing - for the year. Does anyone have a draft or something they wouldn't mind sharing to get me started?

The way I see it there is so much going on for both Ops & Lending it's sort-a hard with a 1-member compliance dept. to set a schedule to visit a branch to do lobby/labor, or check for reg cc and then to audit the note department, check for lending compliance. We've had so many audits this year that alone has kept me quite busy. It seem's there has been so much going on with revising policies to ensuring we're complying with CIP, or HOEPA, or Reg C.

Anyhow, if any of you experts has a sample schedule you have put together it would really be appreciated.

Thanking you in advance for all your help.

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Audit
#39919 - 10/31/02 04:43 PM Re: Compliance Calander
Anonymous
Unregistered

Sorry... I forgot to list my email: cherylec@frsb.com Thanks again!

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#39920 - 10/31/02 08:26 PM Re: Compliance Calander
Andy_Z Offline
10K Club
Andy_Z
Joined: Oct 2000
Posts: 27,748
On the Net
The Compliance Management Tool may help you get started. You may use this for ideas, use it with a little customization or a lot.
_________________________
AndyZ CRCM
My opinions are not necessarily my employers.
R+R-R=R+R
Rules and Regs minus Relationships equals Resentment and Rebellion. John Maxwell

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#39921 - 10/31/02 10:39 PM Re: Compliance Calander
Miss Kitty Offline
Platinum Poster
Joined: Mar 2002
Posts: 721
California
Thank you Andy. As usual you are most helpful and always coming to the rescue. Is there another way to access these? Apparently the Firewall will not allow me to view them. Any suggestions?

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#39922 - 11/01/02 02:03 AM Re: Compliance Calander
Andy_Z Offline
10K Club
Andy_Z
Joined: Oct 2000
Posts: 27,748
On the Net
Send me your e-mail address.
_________________________
AndyZ CRCM
My opinions are not necessarily my employers.
R+R-R=R+R
Rules and Regs minus Relationships equals Resentment and Rebellion. John Maxwell

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#39923 - 11/01/02 09:59 PM Re: Compliance Calander
Miss Kitty Offline
Platinum Poster
Joined: Mar 2002
Posts: 721
California
Thank you Andy - I've tried numerous times for our IS guys to give me access - Guess I'm not a priority on their list right now. cherylec@frsb.com

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