Skip to content

Need Sample Format for Compliance Risk Assessment

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?

There's an article in the September/October 2004 ABA Bank Compliance magazine that might help: "Compliance Risk Rating Solutions." The piece reflects a rather incredible amount of organization and effort by the author, Keith Monson. He rates regs as "high," "moderate" or "low" in terms of risk. Personally, I think that's all the precision that is feasible. For example, BSA and Reg B are both "bet the bank" issues and ranking one 1st and the other 2nd is a meaningless exercise.

First published on 12/05/05

First published on 12/05/2005

Filed under: 
Filed under compliance as: 

Banker Store View All

From training, policies, forms, and publications, to office products and occasional gifts, it’s available here:

Banker Store

hot right now

image description

Looking for effective, convenient training on a particular subject?

BOL Learning Connect offers more than 200 courses ON-DEMAND or on CD ROM from AML to Reg Z and every topic in between.

Search Topics