Introduction to Conducting a Compliance Audit/Review for New Compliance Officers – Part 3
This is for Part 3 Only of 3 part series.
As a new Compliance Officer, an excellent way for you to gauge your institution’s compliance program is to conduct compliance reviews/audits.
A compliance audit is a comprehensive evaluation of a financial institution’s adherence to regulatory guidelines. Its purpose is to identify problems and weaknesses BEFORE they are detected by examiners, or even worse, customers or customers’ attorneys. This webinar will provide an overview of the tools and resources available for conducting a compliance review as well as areas to review and questions to ask.
- The importance of a compliance review
- Compliance audit/review resources
- Reviewing policies, procedures, and practices
- Reporting the results of your review
- Developing a compliance audit schedule
Who Should Attend?
New Compliance Officers, Chief Compliance Officers, Compliance, legal, risk management staff, Internal Auditors, Operations staff, and CEOs.
Kristen Tatlock is a nationally known speaker and compliance consultant with over 30 years of experience in the bank and credit union compliance arena. Kristen assists credit unions with issues ranging from advertising rules to bylaws, from Social Media compliance matters to Regulation Z, and just about every regulation and compliance concern in between.
Kristen has earned Compliance and Bank Secrecy Act certifications from the two national credit union trade associations. She regularly presents compliance training programs for CUNA, NAFCU, and many state Leagues around the country. She has also edited and revised numerous compliance training courses and modules for CUNA CPD and has authored several articles for various CUNA publications.
Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts $279
12 Months OnDemand Playback + $110
12 Months OnDemand Playback + CD + $140
Additional Live Access + $75 per person