Documenting controls tested and issues discussed during the exam and preparing written reports outlining the results of the examination work performed.
June 10, 2020
Develop and conduct various compliance training presentations/sessions for ECM including the annual compliance meeting with all registered individuals within ECM in order to fulfill regulatory requirements and maintain a well-informed and educated staff.
June 17, 2020
Support regulatory exams according to documented compliance procedures, including facilitation of document production, periodic status updates, interaction with regulators and examiners, meeting facilitation, and other logistical matters.
August 28, 2020
Leads and manages supervisory events, including determining scope, rating, resource needs, and work assignments.
August 29, 2020
Examines records of assets such as cash and accounts due from institutions, investments, loans, real estate, and equipment to verify accuracy and composition of data provided in financial statements.
September 08, 2020
Attends meetings and conferences with top-level management of firms to obtain information, resolve discrepancies, and report findings.
September 19, 2020
Communicates, describes, supports, and discusses findings of supervisory events with Reserve Bank and supervised institution management.
October 02, 2020