Sectors

Risk & Compliance Review

All Credit Unions face risks that could threaten their financial stability and viability.

Under The Credit Union Act 1997 (as amended), “A Credit Union shall identify the operational risks it is exposed to, or is likely to be exposed to, and provide for the management and mitigation of those risks”.

Additionally under The Credit Union Act 1997 (as amended), there is a legal requirement to appoint a risk management officer and a compliance officer although nothing prevents this from being the same individual.

Risk Identification & Mitigation

Effective risk management procedures help your Credit Union to identify risks and mitigate them with appropriate controls. At RBK, we help Credit Unions benchmark their risk management against best practice and advise on:

  • the development and implementation of a risk register
  • risk assessments
  • appropriate of internal controls in place
  • effective embedding of the risk management system

We also provide a fully outsourced risk management function and deliver risk management training for both the Board of Directors and Management Team.

Your risk management policy should be an integral part of the daily functioning of your credit union. Our Credit Union team will help you ensure that your risk management strategy is effective and easy to implement and work with. We also advise on how to communicate your strategy effectively.

Annual Compliance Statement

All Credit Unions are required to submit an annual compliance statement to the Central Bank setting out where or not they are compliant with Part IV of The Credit Union Act 1997 (as amended). RBK can assist your Credit Union with this by:

  • providing a fully outsourced compliance function
  • conducting a compliance review to highlight areas of non-compliance
  • implementing a plan to correct areas of non-compliance

We maintain a breach register which is updated on a quarterly basis for areas of non-compliance. We agree timelines with the Board of Directors to take corrective action and will quickly escalate breaches where timelines are not adhered to. We then provide the assistance necessary to implement the changes.

For further information or to discuss your Credit Union’s specific requirements, please contact a member of our team.