Agenda

November 7, 2025
11:00am - 12:30pm EST

Your institution’s safety and soundness are contingent upon effectively identifying and managing your compliance risk exposures. The Audit Committee is a vital component to your compliance management program.

They must have an understanding of your institution’s current compliance risk level and focus on those areas of highest risk to ensure that board-approved policies include mechanisms for identifying, measuring, controlling, and monitoring risks. They also must be kept informed of the current regulatory environment, including regulatory hot buttons and pending regulations coming down the pike.

In this session, we will discuss the role and responsibilities of the Audit Committee and its members. We will share a sample of a standard Audit Committee agenda and detail the reports and policies that the committee is responsible for reviewing.

Topics

What You'll Learn

• Understand the responsibilities of and examiner expectations for the Audit Committee
• Compliance audit programs: what the examiners are looking for
• Utilize checklists to track that corporate documents, policies, and reports are appropriately reviewed by the Audit Committee Board
• Review compliance exception reports
• Define responsibilities for the Board, including policy and risk assessment approval, training requirements, and reviewing audit/exam findings
• Explain key information from audit reports

Speaker(s)

Dawn Kincaid
Brode Consulting Services, Inc.

Dawn Kincaid began her banking career while attending The Ohio State University. She has 19 years of experience in client service, operations, information technology, administrative and board relations, marketing, and compliance. Most recently Dawn served as the Senior Vice President of Operations for a central-Ohio-based community bank, where she created and refined policies and procedures, conducted self-audits and risk assessments, and organized the implementation of new products and services. Dawn has served in the roles of Compliance, BSA/AML, CRA, Privacy, and Security Officer. She has led training initiatives, prepared due diligence information, completed a variety of regulatory applications, coordinated internal and external audits, and exams, and presented for numerous state associations.

Fees

Live Webinar - $299.00

• Live Access
• 30 Days OnDemand Playback
• Presenter Materials and Handouts

Available Upgrades

• 12 Months OnDemand Playback - $120.00
• 12 Months OnDemand Playback + Digital Download - $150.00
• Additional Live Access - $95.00 per person

**100% surcharge applied to non-members.

Association Contact

Katie Yates
Education Coordinator
o: 317-387-9380
d: 317-333-7162
kyates@indiana.bank