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Compliance Services

Credit unions are becoming overwhelmed with new compliance responsibilities. Sometimes those responsibilities require a more in-depth solution than a phone inquiry. That’s why the Association has strengthened its Compliance area to include compliance and operations consultants that work directly with credit unions to address specific challenges.

Compliance Services is particularly helpful for credit unions without dedicated compliance staff, as well as to assist busy CEOs or compliance staff .No matter what the reason, your compliance program will benefit from our Compliance Consultant's years of training and experience working in credit union compliance. Our Compliance Officers are CUNA-certified as both a BSA Compliance Specialist, as well as a Credit Union Compliance Expert (CUCE).

The service begins by meeting with the CEO or designated staff to determine which compliance projects needs immediate attention. Together you’ll determine how you can best address those needs. Compliance Consultants can help your credit union implement a comprehensive compliance program, or simply address a specific compliance need. Support can be a combination of in-person meetings, telephone, or e-mail support.

Typical components of an enterprise-wide compliance program include:

  • Comprehensive review of existing policies and procedures for compliance
  • Provide additional policies and procedures for compliance
  • Training staff to use online compliance tools such as InfoSight and CU PolicyPro
  • Addressing NCUA Exam Issues Consulting


Staff and Board training is a key component of the Compliance Consulting program. Training can be tailored to best meet your needs. Typical staff training sessions includes:

  • BSA Compliance
  • Business Deposit Account Training
  • Consumer Deposit Account Training
  • IRA Training
  • Risk Management for Frontline Staff
  • Other training such as Supervisory Committee Training and Robbery Training upon request


Specific project work is also available, such as:

  • Business Continuity/Disaster Recovery
  • Vendor or Member Due Diligence/Risk Assessment
  • Assist with compliance deadlines as required by either regulators or auditors


Your Compliance Consultant provides your credit union with regular updates on regulatory changes and operational impact. Clients receive a special weekly e-newsletter they can share with staff, called Compliance Connection Weekly . 

Credit unions contract with Compliance Consulting Program hourly, based on terms of  6, 12 or 24 months.

Please contact Kim Zelna for more information at


Download the Compliance & Audit brochure for additional information.

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