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.
Who Should Attend
New Compliance Officers, Chief Compliance Officers, Compliance, legal, risk management staff, Internal Auditors, Operations staff, CEOs.