Q: How did you get started in community banking?
A: I fell into banking. I was looking for something closer to home rather than commuting into the city. That was over 25 years ago—it's been an adventure where I’ve learned something new every day since.
Q: Take us through a typical workday for you.
A: I don’t know that I have a “typical” day, other than the hours I’m in the building. Each day can bring something new to my desk.
Q: Can you share a challenge you're working to solve?
A: The big compliance challenges we currently face regarding how to meet the requirements of Section 1071 without impacting our customers and the changes to CRA. From an internal audit standpoint, another challenge is meeting the financial
statement audit requirements and testing controls.
Q: What advice do you have for others in your role?
A: Don’t take things personally and assure management and staff that you are there to support them. Our job as compliance officers and internal auditors is to identify the risks and recommend controls that would reduce those risks.
When I was starting out, someone told me my job was to locate the potholes in the road and make suggestions on how to fix them.
Q: Who helps you get things done?
A: It is a team effort. Supervisors, managers and the doers of whichever function I’m reviewing are the real experts that can answer my questions or show me how they are utilizing the systems in their daily functions.
Q: What ICBA Education event have you attended and why?
A: I love the Annual Certification Conference. I love talking with everyone about which systems they are using and how they are using them for their own processes. The wealth of knowledge and ability to brainstorm possible procedures
for given situations is so helpful.
Q: What is the value of your Certification Designation?
A: The designation helps demonstrate the ability and willingness of an individual to be a lifelong learner, along with the desire to achieve a higher standard of excellence.
Upcoming events
From May 7–9, ICBA will be holding the BSA/AML Institute certification class in Minneapolis. In this class, BSA and AML, compliance and security officers will learn to better evaluate community banks’ BSA/AML program.
For both new and veteran auditors, ICBA has its Audit Institute certification class, with two livestream options May 14–16 and May 21–23.
Certified by ICBA
ICBA offers nine certification programs designed to raise industry standards and provide consumers with a trusted mark of excellence. Join Lisa and countless others in taking the next step toward professional growth and success with an ICBA certification.
