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Compliance Audit 101

Compliance Audit 101


Who Should Participate

Compliance department personnel, anyone with audit functions, and all others interested in learning about compliance auditing will benefit from this seminar.

Make your attendance count towards your continuing professional education credits! The MBA will provide a certificate of attendance that you may submit to the appropriate advisory board.

Program Overview

This five-hour course will lead attendees through the steps to build an internal compliance audit program - how to get it started, what is needed, reports, process, etc.


A robust compliance management system encompasses the following components:
  • Board and management oversight
  • Compliance program
    • Policies and procedures
    • Training/education
    • Monitoring and corrective action measures
  • Vendor management and third-party relationships
  • Response to consumer complaints
  • Compliance audit and quality control
The presenters will walk through the above areas at a high level and take a deeper dive into:
  • Monitoring and corrective action measures
    • What should the monitoring look like at your institution? Taking a risk-based approach. We will provide tools and resources.
    • How to address and track corrective action measures
  • Response to consumer complaints:
    • The compliance officer’s role – responding and documentation
  • Compliance audit and quality control
    • Structure
    • Frequency
    • Accountability
    • Best practices

    The presenters will cover regulatory updates and hot topics, including the areas below:

    • Bank Secrecy Act, including beneficial ownership
    • HMDA
    • TRID
    • Fair Lending


Becky Rich, Tisha Stelken and Jeff Tupper of RSM US LLP

Registration Fee (This fee includes continental breakfast, lunch, and refreshments)

Member: $295.00
Each additional person from same bank: $245.00
Qualified Non-member bank: $590.00

Note:  You will be given the option to pay by credit card or to invoice your company during the checkout process.

Dates & Times

May 16, 2018
Check in:  8:30 AM
Program:  9:00 AM - 3:00 PM


Minnesota Bankers Association
8050 Washington Avenue South
Eden Prairie, MN  55344
Click here for directions


Lodging arrangements can be made at: Hyatt Place, Eden Prairie. Click here to make an online reservation, or call 
952-944-9700 - dial “0” for the front desk, (Ask for the Minnesota Bankers Association rate of $148.00, plus tax)

Cancellation Policy

The MBA reserves the right to cancel programs due to insufficient enrollment, instructor illness, or other reasons. Participants wishing to cancel must inform the MBA in writing prior to the event. Send cancellation notices to maryh@minnbankers.com. A cancellation fee of 25% of the program cost will be charged for withdrawing, or you may send a substitute. The full program fee will be charged for withdrawing after the event has taken place or a no-show. 

Special Needs

If you have a disability that may affect your participation in this program - or any dietary issues - please send a statement regarding any special needs to maryh@minnbankers.com at least two weeks prior to the program. We will contact you to discuss accommodations.
Minnesota Bankers Association 8050 Washington Avenue South Eden Prairie, MN 55344
Online registration not available.

Please note that you must be logged in to register online