Barret School of Banking

Barret School of Banking • (901) 321-4000 • barret@barretbanking.org

Consumer Compliance Exam Cliff Notes

Why do a podcast episode on the template from the FDIC for consumer compliance exam? Well, for one…they give you the answer to the exam. They, literally, put out what the form looks like and what they’re looking for. In my college classes, I’m not the most difficult professor on earth…but even I don’t go that far.

The main reason is that the old cliche is true…compliance is everyone’s responsibility. Just because you are not a compliance officer, doesn’t mean you don’t have some role to play here. If you know what the examiners are going to ask your management, then you’re going to know what management is going to be asking of you…in about 2 seconds after they are asked themselves.

And the best part is…this is all publicly available information. I didn’t sneak into the FDIC archives Tom Cruise-style and steal these. They emailed these out to the email list. I’ll attach the files below.

Don’t forget to check out our sponsor, ICBA Securities, at www.icba.org/icba-securities

FDIC Consumer Compliance Templates–Click to download

 

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