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Course Details

Introduction To Conducting A Compliance Audit/Review For New Compliance Officers

Webinar: ID# 1039466
Live on 4/27/2021 from 11:00am till 12:30pm Eastern or via CD or On-Demand
Qty:
About This Course:
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.What You'll Learn:
  • 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
Order:
Introduction To Conducting A Compliance Audit/Review For New Compliance Officers
Live on 4/27/2021 from 11:00am till 12:30pm Eastern or via CD or On-Demand
Qty:
Course Details
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