Audit readiness is an operational discipline.
Join us for a practical session for compliance leaders and operators who want to stop scrambling before exams and start building operational discipline.
What you'll learn
- Why most audit preparation fails, and the mindset shift that fixes it
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A practical framework for building continuous audit readiness using the Compliance Management System (CMS) model
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How to structure issue management, complaint tracking, and evidence collection so they work for you year-round, not just during examinations
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What to prioritize in the 30–60 days before an exam
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How to manage the examination process and post-examination follow-up to strengthen your position
Why this matters now
Regulatory expectations haven’t softened. Examiners assess both program design and day-to-day execution, regardless of team size or resources.
Organizations that treat compliance as a checkpoint rather than as an integral operating function are increasingly exposed. Scattered documentation, unvalidated issue closures, and generic training create false confidence that often breaks down under scrutiny.
The organizations that navigate exams well are the ones that build readiness into how they operate every day.
Speakers
Amber de Volk
As a senior compliance architect and regulatory advisor Amber has over eighteen years of experience across fintech, banking, payments, and emerging financial technologies. She holds an LLM in Financial Risk Management and specializes in CMS and AML program development, model governance, AI oversight, and enterprise risk management. Known for her strategic approach and hands-on leadership style, Amber partners with founders and executive teams to build scalable, defensible compliance frameworks that drive growth and enable safer innovation.
Bert Friedman
Bert is a seasoned compliance executive and former CFPB examiner with over twenty years of experience across fintech, banking, payments, and venture backed financial technology companies. He has served as Chief Compliance Officer and fractional compliance leader for multiple startups and regulated institutions, building and scaling BSA/AML, CMS, consumer protection, and enterprise risk programs from the ground up. Bert combines legal, regulatory, and operational expertise with a hands on, sleeves rolled up approach, partnering with founders, boards, and bank partners to design practical, defensible compliance frameworks that enable responsible growth. He is known for translating complex regulatory requirements into clear business processes that strengthen controls while supporting product velocity.