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Introduction to Conducting a Compliance Audit/Review for New Compliance Officers - Part 3

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.

OnDemand
Recorded Wednesday,
May 18th, 2022
Presented by Jamin Carlisle
$195.00 or 1 Token

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Compliance
  • Risk Management/Legal
  • Bank Legal Counsel
  • Compliance Officer
  • Internal Auditor
  • Risk Manager

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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.

Covered Topics

  • 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.


Jamin Carlisle

Instructor Bio

Jamin Carlisle has almost a decade of experience in banking and credit union compliance as well as the Credit Union Compliance Expert (CUCE) certification. His primary areas of expertise include BSA/AML, vendor management, disaster recovery, and staff training. In addition to in-house credit union compliance experience, he has served on planning committees for consumer awareness and elder abuse conferences and given presentations to local community colleges, high schools, and community groups. Jamin has developed and provided compliance and BSA training for groups as large as 350 people.

Prior to beginning his career in compliance, Jamin completed his BA and MA at The University of Tennessee Knoxville and worked as a graduate lecturer.