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 financial institution’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.
Who Should AttendNew Compliance Officers, New BSA Compliance Officers, Chief Compliance Officers, Compliance, Legal, Risk Management Staff, Internal Auditors, Operations Staff, CEOs
Continuing Education Credit Information
Introduction to Conducting a Compliance Audit/Review for New Compliance Officers - Part 3 has been approved for 2 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for Live attendance only. For questions on certificates, please email email@example.com. Certification holders must report these credits at https://aba.csod.com.