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Association of International Bank Auditors June 13, 2013

Association of International Bank Auditors June 13, 2013. AGENDA. OCC Priorities on Large Banks (LB) and Federal Branches Heightened Expectations BSA/AML Other Key Supervisory Priorities. Heightened Expectations for LBs. Board Credible Challenge Talent Management Risk Appetite*

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Association of International Bank Auditors June 13, 2013

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  1. Association of International Bank Auditors June 13, 2013

  2. AGENDA • OCC Priorities on Large Banks (LB) and Federal Branches • Heightened Expectations • BSA/AML • Other Key Supervisory Priorities

  3. Heightened Expectations for LBs • Board Credible Challenge • Talent Management • Risk Appetite* • Strong Risk Management* • Strong Audit Function* • Sanctity of the National Bank Charter *Applicable to certain Federal Branches

  4. Strong Internal Audit - Hindrances • Audit Effectiveness • Talent Gaps • Timeframe for build out of new processes and practices

  5. Bank Secrecy Act/Anti-Money Laundering • Consideration of BSA/AML Examination Findings in ROCA and OCC’s Risk Assessment System • Matters Requiring Attention (MRA) Trending up • Internal Controls and Independent Testing

  6. Discussion Questions/Feedback?

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