Compliance Conference

Day One - Dawn Kincaid | Brode Consulting

The number of regulations we as credit unions are subject to is vast while the number of hours in a day, weeks in a month and months in a year are finite. As a Compliance Officer you must manage regulatory compliance dates (that can change on short notice), update policies and procedures to reflect new requirements, provide relevant information to staff, and stay informed about the next change, advisory, or guidance to be issued. In addition, you manage and implement numerous regulations guidance, and monitoring reports – all of which are designed to avoid consumer harm and compliance violations for their financial institution. Since you often wear many hats, it’s easy for a monthly review or annual report to slip through the cracks. In this one-day session we will journey through a year in the life of a compliance officer, including required training, risk assessments, reviews, reports, and audits. Useful tools to help you meet your responsibilities will be provided.

Topics to be covered include:

• Making your Compliance Management System Work for You
• Using a Compliance Risk Assessment as a Tool
• Managing Policies and Procedures
• Establishing an Effective Change Management Program
• Reporting to the Board
• Staying informed and preparing for compliance hot buttons:
  • NCUA Supervisory Priorities
  • Fair Lending and Reg B-Section 1071
  • Reconsiderations of Value (ROV) Policy and Procedures
  • Wire and EFT Fraud
  • AI and BSA
  • Managing Third-Party Marketing Relationships

Day Two

Crystal Streeper | Viclarity 9:00 am - 12 :00 pm
More details on topics and session descriptions coming soon!

Gretchen Jones & Chris Brooks | Drummond Woodsum 1:00 - 3:00 pm
Handling Deceased Members’ Accounts | Learn best practices for managing deceased members' accounts, ensuring both legal compliance and compassionate handling of these sensitive cases.
Powers of Attorney | Understand the key considerations when presented with a Power of Attorney, and how to navigate these legal documents with confidence.
Subpoenas, Writs, and Levies | Get clear guidance on how to respond to subpoenas, writs, and levies, ensuring proper action and compliance when legal documents are served.