Regulatory Exam Management Application


What is Regulatory Exam Management?

Regulatory exams are used to assess a financial institution’s proficiency in regulations relating to their industry. Proactively managing this process helps organizations prepare for and navigate exams conducted by regulatory authorities. 

Regulatory Exam Management on Risk Cloud

Risk Cloud® is a cloud-based platform with a suite of pre-built Applications that transforms the way you manage GRC processes by combining expert-level content and service with easy, no-code technology.

Risk Cloud’s Regulatory Exam Management Application streamlines regulatory exam processes across an organization by supporting examination owners on everything they need to complete an exam successfully. This Application provides a central location to document exams and accompanying details to ensure easy accessibility during an exam and removes the task of manually tracking down necessary documents.  Completed exam information and findings can be easily captured, assigned to owners, and tracked through remediation within Risk Cloud, making for a seamless regulatory exam process. 

Be Prepared for Regulatory Examinations

  • Proactively plan for the many types of exams, such as full scope, compliance, BSA/AML, and specialty exams
  • Align exam priorities with regulatory authority’s such as FINRA, SEC, NCUA, OCC, CFPB and States
  • Remain organized and ready for any exam, any time
Be Prepared for Regulatory Examinations
Action on Regulatory Exam Findings

Action on Regulatory Exam Findings

  • Know what steps to take after an exam uncovers findings that are identified as Matters Requiring Attention (MRA) or Matters Requiring Immediate Attention (MRIA)
  • Learn the clear indicators of deviation from sound governance, internal control, and risk management principles
  • Avoid fines, financial performance issues, or damage to your risk profile by addressing findings in a timely manner

Get Regulatory Exam-Ready Quickly

  • Enter all exam information into a centralized repository with the Exam Workflow
  • Leverage the Documentation Request Workflow to allow for an examination owner to quickly request documentation and evidence from the business
  • Access and document findings immediately to ensure deviations are tracked and remediated
Get Regulatory Exam-Ready Quickly

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