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
Who Should Attend?New Compliance Officers, Chief Compliance Officers, Compliance, Legal, Risk Management Staff, Internal Auditors, Operations Staff, CEOs.
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