New Compliance Officer Training Part 3: Conducting a Compliance Audit/Review
A compliance audit/review is a comprehensive evaluation of a financial institution’s adherence to regulatory guidelines. Its purpose it to identify problems and weaknesses before they are detected by examiners, or even worse, 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.
As a new Compliance Officer, an excellent way for you to gauge your institution’s compliance program is to conduct compliance reviews/audits. This webinar will provide a new compliance officer with an overview of the tools and resources available for conducting an internal compliance review as well as areas to review and questions to ask.
We’ll go through some reviews so attendees can get an idea of how to conduct an actual review, what to address, and how to report the results. While this session may also provide long-term compliance officers with a refresher on conducting compliance reviews, it is designed primarily for compliance officers with less than 2–3 years of compliance experience.
What You’ll Learn
- The importance and purpose 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, and CEOs will benefit from this course.
Kristen Tatlock is a nationally-known speaker and compliance consultant with over 30 years of experience in the credit union compliance arena. Tatlock 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.
Tatlock 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
- Available Upgrades:
- 12 Months OnDemand Playback + $110
- 12 Months OnDemand Playback + CD + $140
- Additional Live Access + $85 per person