19 May 2021 • 

Conducting a Compliance Audit/Review


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upto 100
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May 2021
+1 more edition


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Kristen joined CU Service Network, now Aux, in April 2017 with the company’s acquisition of COMPASS 4 CUs, LLC. She had served as Vice President of .. Read more that organization since February 2011. Prior to that, she was the Director of Compliance and Regulatory Affairs for the Virginia Credit Union League for over 20 years. 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.

Kristen Tatlock

Kristen Tatlock

Speaker and compliance consultant
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