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COMPLIANCE IN CREDIT UNIONS JILL MARTIN

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COMPLIANCE IN CREDIT UNIONS JILL MARTIN Directors, Managers, & Auditors A.P.R.A. Staff Privacy c.c.c. HOW DO SOME CUs VIEW AUDITORS & REGULATORS? OUT TO GET THEM ... – PowerPoint PPT presentation

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Title: COMPLIANCE IN CREDIT UNIONS JILL MARTIN


1
COMPLIANCE IN CREDIT UNIONSJILL MARTIN
Directors, Managers, Auditors
A.P.R.A.
Staff
Privacy
c.c.c.
2
HOW DO SOME CUs VIEW AUDITORS REGULATORS?
3
OUT TO GET THEM

4
IS THE FEAR VALID?
  • NO
  • TO THE CONTRARY
  • DEVELOPMENT
  • ENHANCEMENT
  • TRUST
  • AGAIN DEVELOPMENT

5
USEFUL TO REMEMBER THAT
  • COMPLIANCE AND BUSINESS
  • DONT HAVE TO BE AT ODDS
  • GOOD SERVICE
  • GOOD FOR STAFF DEVELOPMENT
  • CAN KEEP US OUT OF TROUBLE

6
HAVE YOU NOTICED?
  • WHICH ORGANISATIONS TAKE COMPLIANCE SERIOUSLY
  • THE EMPLOYMENT ADS
  • VERY SENIOR ROLES
  • BIG MONEY

7
WHAT AREAS OF
COMPLIANCE DO I LOOK AT?
  • AUDITS
  • PROJECTS
  • REVIEW / DEVELOP POLICY
  • REVIEW / DEVELOP PROCEDURES
  • TROUBLE SHOOTING

8
WHERE DOES IT START?
  • COMMITMENT FROM THE TOP
  • DIRECTORS
  • CEO
  • MANAGEMENT TEAM
  • STAFF

9
POLICY AND PROCEDURES
  • SOMETHING OLD
  • SOMETHING NEW
  • SOMETHING
  • BORROWED

10
WHO CHECKS ON THINGS?
  • AUDITS
  • INTERNAL
  • EXTERNAL
  • REGULAR LOAN AUDITS

11
WHAT DO I FIND
  • SOME VERY GOOD
  • SOME OVER DO IT
  • SOME NOT SO GOOD
  • SOME DIFFICULT

12
SOME ISSUES
  • STAFF RECRUITMENT
  • STAFF TRAINING
  • STAFF MONITORING
  • STAFF MOTIVATION
  • PROCEDURES
  • CHECKLISTS
  • POOR ADVICE

13
MORE ISSUES.
  • LONG TIME MANAGERS
  • TRUST OR FOLLY?
  • BIT OF ARROGANCE
  • STAFF MANAGEMENT
  • JUST TOO BUSY

14
TO BE A BIT MORE SPECIFIC
  • CONSUMER CREDIT CODE
  • APRA REQUIREMENTS
  • PRIVACY
  • BREACH SOME RULES
  • MAKE UP SOME OF THEIR OWN
  • LACK OF TRAINING

15
DO I HAVE A GOOD TIP FOR YOU?
16
TELL IT AS IT IS.
  • DONT SHY AWAY FROM WHAT YOU KNOW MUST BE SAID
  • DONT GET FRUSTRATED
  • YOUR WORK IS VITAL
  • YOUR WORK IS VALUABLE
  • AIM FOR RESPECT NOT FRIENDS
  • YOUR REPUTATION - YOUR CAREER
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