Compliance 101 for New Compliance Officers – Part 1
This is for Part 1 Only of 3 part series.
“Where do I even start?” is a question New Compliance Officers often ask themselves. This program will provide resources and information to help answer that question.
Keeping up with all of the rules, regulations, and laws that affect financial institution operations can be daunting for the most seasoned compliance professional; for new compliance officers, it can be overwhelming. This session is designed to provide a new compliance officer with tools to help make the transition on their new role easier; it can also provide long-term compliance officers with a refresher on regulations and resources.
Covered Topics
- Overview of major compliance issues
- The importance of risk assessments
- Regulator focus
- Resources all Compliance Officers need to know about
Who Should Attend?
New Compliance Officers, Chief Compliance Officers, Compliance, legal, risk management staff, and CEOs.
Presenter
Kristen Tatlock is a nationally known speaker and compliance consultant with over 30 years of experience in the bank and credit union compliance arena. Kristen assists credit unions with issues ranging from advertising rules to bylaws, from Social Media compliance matters to Regulation Z, and just about every regulation and compliance concern in between.
Kristen has earned Compliance and Bank Secrecy Act certifications from the two national credit union trade associations. She regularly presents compliance training programs for CUNA, NAFCU, and many state Leagues around the country. She has also edited and revised numerous compliance training courses and modules for CUNA CPD and has authored several articles for various CUNA publications.
Registration Options
Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts $279
Available Upgrades:
12 Months OnDemand Playback + $110
12 Months OnDemand Playback + CD + $140
Additional Live Access + $75 per person
