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Research & Compliance     


Research & Compliance

The answers you need—when you need them!
CURoots Services

Taking care of compliance so you can take care of business.

Compliance Services

  • 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.
  • Training
    • Assist with board and staff compliance training.

For information on CURoots' compliance and internal audit services, contact Rita Fillingane at ritaf@ccul.org, or 909-212-6055.