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Conducting a Compliance Audit/Review

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.

OnDemand
Recorded Wednesday,
May 19th, 2021
Presented by Kristen Tatlock
1h 30m total length
2 CEU Credits
$195.00 or 1 Token

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Auditing
  • Compliance
  • Operations
  • Risk Management/Legal
  • Bank Legal Counsel
  • Bank Secrecy Act Officer/BSA Specialist
  • Compliance Officer
  • Deposit Operations Manager/Specialist
  • Internal Auditor
  • Risk Manager
  • Security Officer
  • Senior Management

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

One of the best ways to get a feel for your credit union's compliance program is to conduct compliance reviews/audits of different areas of operations.

A compliance audit 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 or 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.

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

Learn caption

New Compliance Officers, Chief Compliance Officers, Compliance, Legal, Risk Management Staff, Internal Auditors, Operations Staff, CEOs.

Kristen Tatlock

Instructor Bio

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.


Credit Information

Recommended for 2 CEU Credit Hours. After attending this webinar, each attendee can receive a Certificate of Attendance for self-reporting of CEU Credits.