Conducting a Compliance Audit/Review

Kristen Tatlock

Kristen Tatlock is a nationally-known speaker and compliance consultant with over 30 years of experience in the 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.

Kristen joined CU Service Network, now Aux, in April 2017 with the company’s acquisition of COMPASS 4 CUs, LLC. She had served as Vice President of that organization since February 2011. Prior to that, she was the Director of Compliance and Regulatory Affairs for the Virginia Credit Union League for over 20 years.

This is for Part 3 only. For series pricing, CLICK HERE.

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.

Topics Will Include:

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, CEOs

Conducting a Compliance Audit/Review

Topics Will Include:

Who Should Attend?

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