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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,
November 10th, 2021
Presented by Kristen Tatlock
1 CAMS Credits
$279.00 or 1 Token

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Compliance
  • Risk Management/Legal
  • Bank Legal Counsel
  • Bank Secrecy Act Officer/BSA Specialist
  • Branch Manager
  • Compliance Officer
  • Internal Auditor
  • Risk Manager
  • Senior Management

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

As a new Compliance Officer, an excellent way for you to gauge your institution's compliance program is to conduct compliance reviews/audits.

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.

The "Conducting a Compliance Audit/Review" has been approved for 1 CAMS credits. Credits are redeemable for Live attendance only. Users must connect to the streaming individually and enter their name and email for reporting purposes. Accreditation is valid for one year from the date of the event. 

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, New BSA 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

Conducting a Compliance Audit/Review has been approved for 1 CAMS credits. Credits are redeemable for Live attendance only. Credit is for Live attendance only. Accreditation is valid for one year from the date of the event. For questions on certificates, please email support@oncourselearning.com.