ACUIA Webinar - Communication of Compliance Concerns to the Supervisory Committee

ACUIA Webinar

July 24, 2019 12:00pm EST

This webinar will cover the following: Managing the Credit Union’s compliance with federal and state regulations is part of the Credit Union’s enterprise risk management program. Though managing this risk is more than “checking the box” and it should be truly understanding risks to the Credit Union and the impact they can have.

In this session you will learn about how a Compliance Management System should be structured, it’s governance, and what should be communicated to the Supervisory Committee and/or Board of Directors. We will discuss items such as risk assessment results, complaint resolution and root cause, vendor management monitoring and a number of other areas.

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About the Presenters

Emily Morrissey is a Senior Manager in the Regulatory Compliance group for Crowe, LLP.  Ms. Morrissey is responsible for managing the delivery of fieldwork for the firm’s compliance clients on a national level. Among her dozens of  clients she has served in this capacity, are institutions ranging from community banks and credit unions to financial institutions with assets greater than $10 billion. These institutions are overseen by the CFPB, FRB, FDIC, OCC and NCUA.
Ms. Morrissey is responsible for consulting and auditing financial institutions relating to their overall compliance management programs as well as compliance with technical lending and depository consumer protection regulations.

Lennox Bernard, is a Manager in Crowe's Consulting Practice. He joined Crowe in 2006 and currently provides service to clients in the areas of Compliance management programs, including technical Lending and Deposit Compliance. During his more than 30 year banking career, Mr. Bernard worked for several financial institutions including the Federal Reserve Bank of Atlanta and the Bank of New York (Now BNY/Mellon) managing Regulatory Compliance, Wire Room, ACH Processing, Loan Servicing and the Customer Call Center.

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