Conducting a Compliance Audit and Review

A compliance audit is a comprehensive evaluation of a credit union's adherence to regulatory guidelines. Its purpose it to identify problems and weaknesses BEFORE they are detected by examiners, or even worse, members and members' 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.

Covered Topics

  • The Importance of Compliance Audit
  • Compliance Audit/Review Resources
  • Reviewing Policies, Procedures, and Practices
  • Reporting the Results of Your Review
  • Developing a Compliance Audit Schedule

Who Should Attend?

Compliance, operations, legal, and risk management staff, internal auditors, Chief Compliance Officers, and CEOs will benefit from attending this webinar.