Introduction to Conducting a Compliance Audit/Review for New Compliance Officers

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 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.