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Audit Readiness or Ready When They Are: Practical Audit Readiness That Stands Up

Course Description

Being audit-ready means more than collecting documents—it means knowing your program inside and out and being prepared to demonstrate it clearly. This session will cover the basics of organizing your materials, effectively responding to examiner requests, and setting the right tone during the audit process. If your team wants to show confidence, competence, and control during exams, this course will give you the tools to prepare.

Agenda

  • Learn how to manage and organize compliance documentation for easy retrieval during exams.

  • Review common examination request lists and how to respond with precision and clarity.

  • Understand the importance of tone, communication, and confidence in audit interactions.

  • Identify red flags that may raise concerns and how to address them proactively.

  • Discuss how to train internal stakeholders on what to expect and how to engage with auditors.

  • Create a sustainable audit readiness plan that supports ongoing compliance year-round.

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September 9

Digital Payments and Payment Systems: What Banks, MSBs, and Fintechs Need to Know

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September 23

ECOA Timing Traps: Getting the Notice of Incompleteness (NOI) and Timelines Right