Taking care of compliance so you can take care of business.
- Compliance Management
- Work with Credit Union management in developing and maintaining a Compliance Program.
- Assist with the resolutions of any existing exam findings.
- Review current processes with staff to ensure required compliance procedures are being performed.
- Review/update and or develop BSA/AML/OFAC/CIP program.
- Regulatory/Law Awareness
- Keep the Credit Union abreast of current and upcoming law and regulation changes.
- Provide the Credit Union regulatory and law updates including necessary steps for implementation.
- Perform necessary regulatory data research specific to credit union needs and criteria.
- Compliance Calendar provided quarterly for reminders of deadlines and credit union requirements.
- Policy Maintenance/Development/Implementation
- Coordinate compliance with new and existing laws and regulations affecting the Credit Union, including policy development, training, and applicable forms.
- Maintain and/or update compliance programs accordingly to adhere to new/existing laws and regulations, including updating, revising, and developing policies in order to ensure compliance.
- Assist the credit union with updating, revising, and developing forms with new regulatory changes and or developments.
- Regulatory Exams/External Audits
- Coordinate with regulatory examiners and external auditors during examinations to ensure that compliance issues are adequately addressed where appropriate.
- Provide assistance to the credit union in preparation for upcoming exams.
- Coordinate with examiners and auditors on behalf of the credit union to address any compliance questions and or concerns, including participation in exit interviews.
- Provide assistance in resolving any compliance exam findings, including providing management responses and timeframes of completion.
- Provide follow up to ensure management responses and requirements are developed and or implemented within the timeframes given.
- Q&A Phone Access
- Accessibility via phone for any compliance related questions and or concerns.
- Assist with board and staff compliance training.
For information on CURoots' compliance and internal audit services, contact Rita Fillingane at email@example.com, or 909-212-6055.