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Compliance Training Program

Introduction to Compliance Examinations School

Program Overview
The Introduction to Compliance Examinations School (ICES) is a course for pre-commissioned compliance examiners. It includes an overview of the various consumer protection laws and regulations and compliance examination procedures  

Key Objectives
Upon completion of this course, participants will be able to:

  • Identify examples of proper oversight, training, monitoring and auditing in a bank’s CMS.
  • Determine a bank’s compliance with the consumer protection regulations, including: RESPA, TIL, HMDA, Flood Insurance (Part 339), ECOA, FHAct, SCRA and Homeownership Counseling, HOPA, RFPA, Privacy, FCRA and FACTA (Part 343).
  • Assess a bank’s CMS as related to the consumer protection regulations.
  • Conduct an interview/question-asking session with a banker using an effective communication model.
  • Apply writing skills to draft violations.
  • Perform a review of three case study loans for compliance with the consumer protection regulations and provide a brief summary of the case study bank’s CMS.

This is a two-week course.


Target Audience
This course is designed for pre-commissioned compliance examiners who generally have two to four months of experience in compliance examinations after entering the compliance discipline.

Pre-Course Assignment
The pre-course learning activities are critical to the completion of the course. The assignment consists of computer based instruction modules and independent readings. 

Official Time
The Division of Depositor and Consumer Protection (DCP) has authorized 40 hours of official time to complete the pre-course assignment. 

Special Requirements
Participants are required to bring a laptop and a Hewlett Packard 12C Financial Calculator to the session.

Post-Course Feedback
A Summary Evaluation Form, which provides a comprehensive analysis of the participant's in-class and project exercises, is sent to the participant's field office approximately thirty days after the conclusion of the school.  

Continuing Education Unit (CEU): 7.1
Continuing Professional Education Unit (CPE): 84.5

Federal Deposit Insurance Corporation Corporate University is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit.  

Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417.  Web site: www.nasba.org.

More Information
For information regarding administrative policies such as complaints and refunds, please contact Corporate University, Attn: NASBA Representative Ava Livas, 703-562-2463, Room VS-A-3025, 3501 North Fairfax Drive, Arlington, VA 22226.

The FDIC has been approved as an Authorized Provider by the International Association for Continuing Education and Training (IACET) (www.iacet.org), 1760 Old Meadow Road, Suite 500, McLean, VA 22102.

For more information concerning course content and administration, please contact Steven Miller at (703) 516-1281 or Dawn Scaff at (703) 516-5797.


Last Updated 04/18/2014 supervision@fdic.gov