Conducting a Compliance Audit/Review


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$199


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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.

Areas Covered in the Webinar:

  • 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 Will Benefit:

New Compliance Officers, Chief Compliance Officers, Compliance, Legal, Risk Management Staff, Internal Auditors, Operations Staff, CEOs.

Webinar Events
Live -Coming soon!

Training CD-DVD

Physical CD-DVD of recorded session will be despatched after 72 hrs on completion of payment


Recorded video

Recorded video session






Get in touch

(315) 632-0735,
(315) 750-4379

Fax

212-751-3500