Tag Archive for: Audit

Events

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Designing Right-Size Risk Assessments

Risk assessment design is unique to each financial institution. One size does not fit all. These assessments have to be individualized because each institution’s situation is different. Join us to learn how to design a risk assessment that is right-sized, concise, impactful, and intelligible.

After This Webinar You’ll Be Able To:

  • Understand different approaches to risk assessment
  • Explain risk assessment objectives and results
  • Design a risk assessment that is the “right size” for your institution
  • Communicate with risk stakeholders
  • Distinguish between inherent and control risk
  • Connect business processes and controls to the risk assessment

Webinar Details
Every institution has risk, but not every team has learned to capture the unique risk profile at their institution. With so many tools available — from third-party vendors to thought leadership — it is easy to get lost. Leaders can end up with a risk assessment that is too complicated to be useful, or too small to be impactful. This webinar will include a survey of risk assessment approaches and expectations from third parties, including examiners. It will provide real-world examples of risk assessments from institutions of various sizes, testing approaches, and results interpretations.

Who Should Attend?
This informational webinar will benefit internal audit staff, risk management personnel, and compliance staff.

Take-Away Toolkit

  • Useful website links
  • Employee training log
  • Interactive quiz
  • PDF of slides and speaker’s contact info for follow-up questions
  • Attendance certificate provided to self-report CE credits

NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your institution is prohibited. Print materials may be copied for eligible participants only.

Presenter
Harrison Powers, CPA – CliftonLarsonAllen, LLP

Harrison Powers is a principal with CliftonLarsonAllen, LLP where he specializes in assurance and consulting services to community financial institutions, private lenders, and financial technology companies. He received his undergraduate degree from the University of Texas at Austin and his master’s degree from the University of Texas at Dallas. He is also a graduate of the Southwestern Graduate School of Banking and a certified public accountant.

Registration Options

  • $279 – Live Webinar Access
  • $279 – OnDemand Access + Digital Download
  • $379 – Both Live & On-Demand Access + Digital Download
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Managing Faster Payments Risk & Fraud

The world seems to be continually spinning faster — and it’s taking the financial services industry with it. Take this opportunity to learn how to recognize, evaluate, and avoid the risk and fraud attendant to faster payments. The danger zones, risks, and fraud are real. This dynamic webinar will provide the expert insight you need.

After This Webinar You’ll Be Able To:

  • Identify the risk associated with faster payments
  • Implement controls for faster payments
  • Understand the rules governing various faster payments networks
  • Identify OFAC requirements for faster payments
  • Distinguish between different faster payments networks

Webinar Details
All payments have risk and a potential for loss due to risk mismanagement and fraud! With payments moving faster than ever before along the RTP network, the FedNow Service, and other avenues, how have those risks evolved or changed? Are there new danger zones? Are there new ways to address this risk? Will faster payments equal faster fraud? Will fraud increase with the release of a faster solution? Learn the answers to these questions and more while building a risk-management program for a faster payment solution.

Who Should Attend?
This session is best suited for directors, managers, compliance officers, and operations personnel.

Take-Away Toolkit

  • CFPB’s Electronic Fund Transfers FAQs
  • OFAC’s Sanctions Compliance Guidance for Instant Payment Systems
  • Nacha’s 9/22/22 Risk Management Framework
  • RTP Rules Interpretation, Fraud Reporting, and Acting on Alerts
  • FedNow fraud resource links
  • Employee training log
  • Interactive quiz
  • PDF of slides and speaker’s contact info for follow-up questions
  • Attendance certificate provided to self-report CE credits

NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your agency is prohibited. Print materials may be copied for eligible participants only.

Presenter
Kevin Olsen, AAP, NCP, APRP, CHPC – Pidgin/Payments Professor

For most of the past two decades Kevin Olsen has been managing the development and delivery of education services, including in-person, web conferences, and webcasts. Olsen creates programs, presentations, and articles designed to orient and educate financial professionals on electronic payment topics. As the “Payments Professor,” he brings enthusiasm and motivation to presentations. He views the world as a classroom, which is exemplified in the “edutainment” ed-u-tain-mint (noun: when education is motivating, informative, and fun) style of training he uses to educate and inform all on the latest developments and trends in the fascinating world of electronic payments.

Registration Options

  • $279 – Live Webinar Access
  • $279 – OnDemand Access + Digital Download
  • $379 – Both Live & On-Demand Access + Digital Download
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Safe Deposit Issues: Drilling, Unpaid Rent, Death, & Unclaimed Property

What could go wrong? Safe deposit box rental and use are predictable, right? Not so! From delinquent rent, to joint ownership, to escheatment and death of an owner, proper handling of safe deposit boxes is hardly banal. Learn the ins and outs of this often-overlooked area.

After This Webinar You’ll Be Able To:

  • Understand your institution’s safe deposit box obligations and responsibilities
  • Implement proper procedures to grant access to a safe deposit box
  • Handle delinquent rent
  • Manage the death of a joint or sole owner
  • Properly escheat safe deposit box contents to the state

Webinar Details
Safe deposit boxes are an important service. They provide additional revenue and enhance accountholder relationships. But safe deposit box operations are unique and sometimes mysterious. Inappropriately handling a safe deposit box can result in unforeseen liability to your institution of tremendous proportions. This webinar will cover everything you need to know to properly handle safe deposit boxes, including the rental agreement, collecting rent, drilling the box, and escheatment of box contents to the state.

Who Should Attend?
This informative session is designed for all staff involved with safe deposit boxes, including officers, service representatives, operations personnel, compliance officers, auditors, attorneys, and managers.

Take-Away Toolkit

  • Checklist of items that should be included in a safe deposit box policy
  • Employee training log
  • Interactive quiz
  • PDF of slides and speaker’s contact info for follow-up questions
  • Attendance certificate provided to self-report CE credits

NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your institution is prohibited. Print materials may be copied for eligible participants only.

Presenter
Elizabeth Fast, JD, CPA — Spencer Fane LLP

Elizabeth Fast is a partner with Spencer Fane LLP where she specializes in the representation of financial institutions. Fast is the head of the firm’s training division. She received her law degree from the University of Kansas and her undergraduate degree from Pittsburg State University. In addition, she has a Master of Business Administration degree and she is a Certified Public Accountant. Before joining Spencer Fane, she was General Counsel, Senior Vice President, and Corporate Secretary of a $9 billion bank with more than 130 branches, where she managed all legal, regulatory, and compliance functions.

Registration Options

  • $279 – Live Webinar Access
  • $279 – OnDemand Access + Digital Download
  • $379 – Both Live & On-Demand Access + Digital Download
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CECL and the Call Report Half Day Streaming Event

The filing deadline is April 30, 2023 for the March 31, 2023 report date. Get your questions answered regarding how to report your CECL adoption in the Call Report.

The format for this webinar will be live streaming with 2 designated Q&A sessions.

Your March 31, 2023 Call Report will require new line items to be completed due to the Implementation of ASU 2016-13 and Accounting Standard Codification Topic No. 326 that is effective on January 1, 2023 for all calendar year institutions. This webinar will assist Call Report preparers, reviewers or auditors understand the various schedules and line items impacted by CECL reporting requirements.

Participants will walk through the changes in terminology that become effective upon adoption of the Current and Expected Credit Losses (CECL) methodology for recording the estimated and expected losses on not only the loan portfolio, but any asset carried at amortized cost, to include debt securities held as available-for-sale and held-to-maturity. Participants will understand:

  • The transition from Allowance for Loan and Lease Losses (ALLL) to the Allowance for Credit Losses (ACL).
  • How to report assets that were considered purchase credit impaired (PCI) that become purchase credit deteriorated (PCD) upon adoption of CECL.
  • How to elect a phase-in of the negative impact to equity capital resulting from the day-one implementation entry.
  • How to determine your CECL transitional amount and your ACL transitional amount.
  • What goes into the calculation of the Adjusted ACL (AACL) that is required for capital ratio calculations.

What You’ll Learn

  • Schedule RI provisions for credit losses and provisions for unfunded commitments
  • Schedule RI-A and the impact of your day-one CECL implementation entry
  • Schedule RI-E reporting the adjustments required in the ACL and Retained Earnings resulting from the day-one entry and beyond
  • Schedule RI-B Part II and the roll-forward of the ACL on loans, HTM and AFS debt securities, and other assets determined to be PCD
  • Schedule RI-C Part II reporting the ACL by loan segment and HTM securities
  • Schedule RC and how to report loan balances and the ACL on loans, securities, and other assets
  • Schedule RC-B HTM debt securities with an associated ACL
  • Schedule RC-C reporting loan balances
  • Schedule RC-G and reporting the ACL on unfunded commitments
  • Schedule RC-K and reporting averages and total assets
  • Schedule RC-N reporting loan balances
  • Schedule RC-O for large institutions that elect a phase-in of the negative capital impacts
  • Schedule RC-R Part I and Part II impacts on reporting capital adjustments and determining the ACL includable as Tier 2 capital.

Who Should Attend
This review of selected Call Report schedules and reporting items impacted by CECL adoption will benefit anyone responsible for preparing, reviewing or auditing the Call Report to include personnel in accounting, lending and credit operations, and financial executives. This training will supplement annual comprehensive Call Report training recommended by bank regulators.

Instructor Bio
Cynthia Dopjera, a Certified Public Accountant, has 38 years of experience focused on accounting and regulatory reporting for financial institutions. During the first 18 years of her career, Ms. Dopjera held various positions with responsibility across all operational areas, to include accounting, internal audit, Call Report preparation and review while working for community as well as regional banks.

In 2000, Ms. Dopjera joined the public accounting firm of Harper & Pearson Company, P.C., where she served as Practice Leader for the firm’s financial institutions practice covering community and regional institutions. The firm’s services included financial statement audit, accounting, tax preparation and filing, internal control audit, Call Report audit, loan and asset quality review, and design and implementation of internal controls over financial reporting frameworks for institutions regulated under FDICIA and Sarbanes-Oxley. In 2018, Ms. Dopjera retired from Harper & Pearson Company, and currently provides accounting, consulting, and training services to financial institutions.

Registration Options

Live Stream: Includes access to the recording for 12 months: $749

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Breaking: Recent Bank Failures: What Does It Mean to Your Institution? FREE Webinar

Doubtless we’ve all heard by now of the sudden and unexpected closures of Silicon Valley Bank and others last week. You’ve also likely heard federal regulators announced plans to support depositors of the two banks and prop up consumer confidence in the banking industry. What exactly happened here? Are more bank failures expected? What were the actions the regulators took to guarantee the deposits of these banks’ customers?

In this short webinar, we’ll address the problems faced by Silicon Valley Bank and other recently failed banks, and anticipate questions your customers may be asking you. We’ll sort our way through what has happened and ensure you’re prepared with the right information to understand the present situation, as well as address concerns throughout the industry.

What You’ll Learn

  • What has happened so far?
  • Will it happen to other financial institutions?
  • Is the industry in trouble?
  • Regulatory and government responses
  • Impact on FDIC deposit insurance
  • New assessment fee
  • Communication and management
  • What to tell concerned customers
  • Future outlook

Who Should Attend
Anyone in the financial institution that would like an update on current events. Especially front-line personnel who may need to respond to questions from the public.

Instructor Bio
Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Managing Director for Treliant Risk Advisors in Washington, D.C. Through his working career, as well as through his experience as a banking attorney and officer, he has provided a variety of regulatory compliance and financial performance services to financial institutions and other clients throughout the country. He has written extensively regarding consumer and commercial compliance, tax, audit, and financial institution legal issues, and is a frequent contributor to and currently serves on the Editorial Advisory Board for the ABA Bank Compliance magazine. He has spoken at scores of banking, compliance, and state bar associations, and has conducted training sessions for financial institutions across the country.

Registration 

  • Free

 

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Bank Accounting: Beyond the Basics – 4 Part Series

This 4-part series will be held April 7, 14, 21, and 28, 2023.

Are you ready to master the art of accounting for complex bank transactions? Then this series is a must-attend! This informative series will cover the critical concepts of audit assertions, internal controls over financial reporting, consolidating statements, and the statement of cash flows, all specifically tailored to the unique activities of financial institutions. With the increasing complexity of financial reporting, now is the time to upskill and gain a deeper understanding of the accounting requirements for your industry.

  • Accounting Standards Codification (ASC), the concept of Generally Accepted Accounting Principles in the United States (U.S. GAAP) and the role of the Financial Accounting Standards Board (FASB)
  • Implementation of timelines for new accounting standards impacting the industry
  • Concept of audit assertions that are applied to the audit of a financial institution’s financial statements
  • Concept of “internal controls over financial reporting”
  • Exercises and exhibits illustrating common bank “risks and controls”
  • Deferred tax accounting and accruing for tax expenses
  • Problem loan accounting
  • Accounting for foreclosed real estate
  • Accounting for equity securities
  • Accounting for debt securities and the required accounting treatment for premiums paid on callable debt securities
  • The concepts behind the new lease accounting standard
  • The assumptions required to account for stock options
  • The concepts behind accounting for a business combination
  • The process for creating consolidated financial statements to include sample transactions with a bank’s holding company
  • A basic understanding on how to prepare a statement of cash flows
  • Exhibits illustrating a sample consolidating schedule and the concept of distributing vs non-distributing transfers up to the holding company will be provided
  • A sample reconciliation of book net income to taxable income will be provided
  • Illustrations on booking, amortizing, and the tax effects on goodwill and core deposit intangibles

Included Webinars

  • Bank Accounting: Beyond the Basics – Part 1
  • Bank Accounting: Beyond the Basics – Part 2
  • Bank Accounting: Beyond the Basics – Part 3
  • Bank Accounting: Beyond the Basics – Part 4

Series Details

Bank Accounting: Beyond the Basics – Part 1
April 7, 2023, 10:00 am CDT
The first part of the series will provide the participant with an understanding of the Accounting Standards Codification and the Financial Accounting Standards Board (FASB) along with an overview of selected new accounting standards and the associated implementation timelines. A discussion on the concept of Audit Assertions that apply to major categories of a bank’s assets, liabilities and equity will be presented. In addition, this webinar will discuss the concept of “internal controls over financial reporting”.

Bank Accounting: Beyond the Basics – Part 2
April 14, 2023, 10:00 am CDT
The second part of the series will focus on accounting for deferred taxes and accruing for current income tax expense. Accounting for problem loans will be covered and includes non-accrual activities and accounting for loans that have been modified under a troubled debt restructuring (TDR).

Bank Accounting: Beyond the Basics – Part 3
April 21, 2023, 10:00 am CDT
The third part of the series will focus on accounting for Other Real Estate Owned (OREO), accounting for equity securities, debt securities and the proper accounting for premiums paid on callable debt securities, leases under the new lease accounting standard, and the concepts behind accounting for stock option plans.

Bank Accounting: Beyond the Basics – Part 4
April 28, 2023, 10:00 am CDT
The fourth part of the series will focus on the concepts behind accounting for a business combination, the basic components in preparing a set of consolidated financial statements, and a beginner’s look at how to prepare a statement of cash flows.

Who Should Attend
The course is designed for those who understand the basis of bank accounting and desire to have a deeper understanding of accounting for more complex activities. In addition, a member of the accounting team that participates in the audit process and works with the bank’s financial statement auditors will improve their understanding of the basic concepts behind the audit assertions and control activities that apply to key areas of the bank’s financial statements, to include the basic concepts of consolidations and preparing a statement of cash flows.

Presenter Bio
Cynthia Dopjera, a Certified Public Accountant, has 38 years of experience focused on accounting and regulatory reporting for financial institutions. During the first 18 years of her career, Ms. Dopjera held various positions with responsibility across all operational areas, to include accounting, internal audit, Call Report preparation and review while working for community as well as regional banks.

In 2000, Ms. Dopjera joined the public accounting firm of Harper & Pearson Company, P.C., where she served as Practice Leader for the Firm’s financial institutions practice covering community and regional institutions. The Firm’s services included financial statement audit, accounting, tax preparation and filing, internal control audit, Call Report audit, loan and asset quality review, and design and implementation of internal controls over financial reporting frameworks for institutions regulated under FDICIA and Sarbanes-Oxley. In 2018, Ms. Dopjera retired from Harper & Pearson Company, and currently provides accounting, consulting, and training services to financial institutions.

Registration Options

Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts $1049

  • Available Upgrades:
    • 12 Months OnDemand Playback + $340
    • 12 Months OnDemand Playback + CD + $460
    • Additional Live Access + $275 per person
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Introduction to Call Report Preparation

Call Reports… 800+ pages of instructions, myriad schedules, regulatory scrutiny — what could go wrong? New preparers need guidance and resources to understand the basic Call Report filing requirements, cut through the information overload, and establish a strong preparation and review process. If you are new to Call Reports, this is a must-attend session!

After This Webinar You’ll Be Able To:

  • Understand how examiners and others use Call Report information
  • Maintain effective Call Report documentation
  • Recognize common errors in key schedules such as:
  • Balance sheet Schedule RC
  • Income statement Schedule RI
  • Loan-related schedules, including Schedule RC-C
  • Define key concepts in reporting regulatory capital, including:
  • The three types of regulatory capital
  • Community Bank Leverage Ratio
  • Risk-weighting of assets, including loans
  • Perform and document the Call Report review process

Webinar Details
With almost 90 pages of schedules to complete and over 800 pages of constantly changing instructions, Call Report preparation can be intimidating — especially for new preparers. This session will highlight how the Call Report is used and how to approach key schedules and items, including the lending and regulatory capital schedules. Preparers will also learn tips for properly documenting the preparation and review process. Attendees will receive a PDF booklet with the most current accounting and regulatory guidance and tips for completing the Call Report.

Who Should Attend?
This informative session is designed for new Call Report preparers and reviewers, and staff responsible for overseeing the accuracy and efficacy of the Call Report process.

Take-Away Toolkit

  • PDF booklet of relevant accounting and regulatory guidance
  • Employee training log
  • Interactive quiz
  • PDF of slides and speaker’s contact info for follow-up questions
  • Attendance certificate provided to self-report CE credits

NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your institution is prohibited. Print materials may be copied for eligible participants only.

Presenters

Michael Gordon, CPA — Mauldin & Jenkins, LLC
Michael Gordon is a CPA and partner in the Atlanta office of Mauldin & Jenkins, LLC. He received his bachelor’s in European History and Economics in 2003 from Vanderbilt University and received his MBA with a concentration in Accounting in 2005 from the Georgia Institute of Technology Scheller College of Business. Since joining Mauldin & Jenkins in 2005, he has focused on financial institution audits and employee benefit plans. Gordon also has experience with HUD and governmental entity audits. He is a member of the American Institute of Certified Public Accountants and the Georgia Society of Certified Public Accountants.

Alison Wester — Mauldin & Jenkins, LLC
Alison Wester is a Partner with Mauldin & Jenkins in the Bradenton, Florida office. She received her BBA in Accounting from the University of Georgia. Since joining Mauldin & Jenkins in 1996, Alison has focused on financial institution audits. Wester has continued her education by attending a variety of audit, tax, and information technology classes. She is a member of the American Institute of Certified Public Accountants, the Florida Institute of Certified Public Accountants, and the Georgia Society of Certified Public Accountants. She is a CPA in Florida and Georgia and previously served on the AICPA’s Examination Content Subcommittee for the financial accounting and reporting section of the CPA exam.

Registration Options

  • $279 – Live Webinar Access
  • $279 – OnDemand Access + Digital Download
  • $379 – Both Live & On-Demand Access + Digital Download
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Cryptocurrency Regulatory Expectations & Guidance

Does your institution provide cryptocurrency services? Even if you don’t, you need to understand the attendant regulations to deal with accountholders that have embraced it. Every financial institution needs to understand the agency-issued guidance, red flags, and potential for fraud. Now is the time to learn more.

After This Webinar You’ll Be Able To:

  • Understand crypto-asset risks to financial institutions
  • Identify potential red flags and risks with cryptocurrency
  • Explain related regulatory expectations and guidance
  • Define common cryptocurrency industry terminology
  • Recognize crypto asset-related frauds and scams

Webinar Details

Even if your institution is not planning to actively participate in cryptocurrency, you should be aware of the expectations when banking an accountholder that has embraced the distributed ledger technology. Cryptocurrency activity is conducted by millions of Americans, and financial institutions must understand the risks and red flags. The regulatory agencies have issued guidance explaining their expectations.  Do your policies and procedures address these expectations? Have you implemented gates and guardrails to control risk? As the digital asset world continues to evolve, it is critical that your institution understands regulatory expectations and is ready to handle accountholders that engage in cryptocurrency activity. This program will explain current crypto asset-related frauds and scams and red flags to help protect your accountholder’s assets.

Who Should Attend?
This informative session is designed for compliance officers, BSA officers, managers, trainers, and all staff that want to understand the current regulatory expectations and guidance regarding cryptocurrency and digital assets.

Take-Away Toolkit

  • Sample due diligence questions
  • Crypto lingo terms and definitions
  • Detailed regulatory reference list
  • Virtual asset red flag indicators of money laundering and terrorist financing
  • Crypto asset-related risk chart
  • Sample policy language
  • Employee training log
  • Interactive quiz
  • PDF of slides and speaker’s contact info for follow-up questions
  • Attendance certificate provided to self-report CE credits

NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your institution is prohibited. Print materials may be copied for eligible participants only.

Presenter
Molly Stull — Brode Consulting Services, Inc.

Molly Stull began her career as a teller while working on her undergraduate degree and has continued working in the financial industry ever since. She has experienced the growth of a hometown bank, branch mergers, charter changes, name changes, etc. Stull has activated business resumption plans, performed secondary market quality control reviews, processed wires, filed SARs, and coordinated reviews with external auditors and examiners. Her favorite role has always been educating staff and strongly believes that if staff understands the reason for a process they will be more compelled to follow the procedures. Stull holds a bachelor’s from the University of Akron and an MBA from Ashland University

Registration Options

  • $279 – Live Webinar Access
  • $279 – OnDemand Access + Digital Download
  • $379 – Both Live & On-Demand Access + Digital Download
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New Compliance Officer Training Part 2: BSA 101

Compliance with the Bank Secrecy Act (BSA) continues to be a supervisory priority so it’s important for new BSA Compliance Officers to have a good grasp of the requirements and, more importantly, where to get answers to questions that may arise. This session will provide new BSA Compliance Officers with information on the laws and rules, as well as guidance on resources that can help make their jobs easier.

“Where do I even start?” is a question new BSA Compliance Officers often ask themselves. This program will provide resources and information to help answer that question.

This session will provide an overview of the laws, rules, and regulations related to the Bank Secrecy Act and combatting money laundering and terrorist financing. The session also provides some tools and resources new BSA compliance officers can use to help with their duties. While this session may also provide long-term BSA compliance officers with a refresher on regulations and resources, it is designed primarily for BSA compliance officers with less than 2-3 years of compliance experience.

What You’ll Learn

  • Overview of Bank Secrecy Act and other Anti-Money Laundering Rules
  • Components of a strong BSA program
  • Using technology to help with BSA compliance
  • Resources all BSA Compliance Officers need to know about

Who Should Attend
New Compliance Officers, Chief Compliance Officers, Compliance, Legal, Risk Management Staff, and CEOs will benefit from this course.

Instructor Bio
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.

Registration Options

  • Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts – $279
  • Available Upgrades:
    • 12 Months OnDemand Playback + $70
    • 12 Months OnDemand Playback + CD  + $100
    • Additional Live Access + $50 per person
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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.

Instructor Bio
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.

Registration Options

  • Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts – $279
  • Available Upgrades:
    • 12 Months OnDemand Playback + $70
    • 12 Months OnDemand Playback + CD  + $100
    • Additional Live Access + $50 per person
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