RW Advantage - Webinars

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Event Name:*CU FOCUSED* - Conducting Compliance Audits
Date:Tuesday, February 21, 2017 1:30pm CST
Panelist(s) Info: Kyla Dartez  (Bio)

Prior to becoming a full-time Compliance Officer in 2002, Kyla spent almost 15 years in Credit Union operations gaining valuable experience and insight into how regulatory compliance works in the "real world." She now applies that knowledge as a COMPASS Compliance Specialist, assisting with product development, staff training, advertising review, development of policies and procedures.

Kyla regularly attends meetings of the Capital Area Compliance Roundtable and served as President of the BSA Compliance Roundtable. Kyla is a CUNA certified Credit Union Compliance Expert (CUCE), a NAFCU Certified Compliance Officer (NCCO), and a certified Bank Secrecy Act Compliance Specialist (BSACS).

Credits:2.0 CE Credits

A compliance audit is a comprehensive review of a credit union’s adherence to regulatory guidelines and the credit union’s own policies, procedures, and practices. Its purpose is to identify problems and weaknesses BEFORE they are detected by examiners or even worse, members and members’ attorneys.  This session will provide an overview of what a compliance audit should address as well as how to develop and audit plan for your credit union.

Covered topics

  • Why Undertake a Compliance Review
  • Compliance Audit Resources
  • Reviewing Policies, Procedures, and Practices
  • Reporting the Results of Your Review

Who should attend?

Compliance Officers, CEOs, Internal Auditors, and Operations staff will all benefit from this webinar.