Regulatory Exam Management


Focuses on the regulatory examination process and keys for administering the exam process to ensure success. Describes the role and examination approach for different regulatory agencies, establishing responsibilities for bank employees and reducing the impact on bank operations. Covers responding to unfavorable exam results, appeals process and viewing the relationship as a partnership.


  • Explain bank and regulatory objectives for examinations
  • Identify the tools used by regulatory agencies to execute the supervisory process
  • Describe fundamental components of exam management from the regulatory perspective
  • Describe fundamental components of exam management from the bank perspective
  • Identify leading practices for exam management

Audience:  Risk and internal audit professionals; third-party service providers and state/federal examiners; first-line risk and operations managers with responsibilities for operational risk management, including implementing, managing, monitoring, reporting, auditing and/or supporting an effective operational risk management program, policies and procedures.

Related Training: ABA Certificate in Operational Risk Management

ABA Certifications: 1.00 CAFP, CRCM

Your Instructor: Jason Painley, Chief Risk Officer, Park National Bank

Assists the Board Risk Committee in providing oversight to the organization’s enterprise risk management activities. Previously, Jason was an examiner at the Federal Reserve Bank of Cleveland where he contributed to several System-wide initiatives, including the 2010 capital stress test review.

The New York Bankers Association is a Local ABA Training Provider.

NYBA Professional Development at (212) 297-1679 or
Enroll Online
Member $275
Non-Member $375

Full Course List

Print Registration Form
To license this course for multiple learners, contact NYBA Professional Development.