Need Sample Format for Compliance Risk Assessment
12/05/2005
Examiners are asking more and more for a compliance risk assessment. Is there a sample format that I could use to develop something more formal for them?
Keith Monson
Bio:
Mr. Monson oversees the risk management functions for Providence Bank. He has over 20 years of banking experience and frequently speaks on a variety of compliance related issues. Mr. Monson has compliance experience with both large and small financial institutions and has also provided compliance management assistance to banks as a compliance consultant. Mr. Monson is a past Chairman of the CRCM Advisory Board and a former member of the Certification Council for the Institute of Certified Bankers. He is also a past Chairman of the Missouri Bankers Association's Compliance Committee. In addition, Mr. Monson has written for and served as the Chairman of the Editorial Advisory Board - Bank Compliance Magazine and was a past member of the Compliance Executive Committee and the Regulatory Compliance Conference Advisory Committee for the American Bankers Association. He was named the 2009 Distinguished Service Award winner by the ABA Compliance Administrative Committee for his work in the compliance field. Mr. Monson graduated from Truman State University and holds a Bachelors of Science degree in Finance.
Contact info:
You may contact Keith via email at kmonson@myprovidencebank.com.