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.
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:
The presenters will walk through the above areas at a high level and take a deeper dive into:
- Board and management oversight
- Compliance program
- Policies and procedures
- Monitoring and corrective action measures
- Vendor management and third-party relationships
- Response to consumer complaints
- Compliance audit and quality control
Becky Rich, Tisha Stelken and Jeff Tupper of RSM US LLP
Registration Fee (This fee includes continental breakfast, lunch, and refreshments)
|Each additional person from same bank:
|Qualified Non-member bank:
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)
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 firstname.lastname@example.org. 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.
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 at least two weeks prior to the program. We will contact you to discuss accommodations.