Conducting Compliance Audits

A compliance audit is a comprehensive review of a credit union’s adherence to regulatory guidelines and the credit union’s own policies, procedures, and practices. Its purpose is to identify problems and weaknesses BEFORE they are detected by examiners or even worse, members and members’ attorneys. This session will provide an overview of what a compliance audit should address as well as how to develop and audit plan for your credit union.

Covered Topics

  • Why Undertake a Compliance Review
  • Compliance Audit Resources
  • Reviewing Policies, Procedures, and Practices
  • Reporting the Results of Your Review

Who Should Attend?

Compliance Officers, CEOs, Internal Auditors, and Operations staff will all benefit from this webinar.